Carl Ayers
The comments are in on two SEC proposals that would bulk up data reporting by mutual funds and investment advisers. Many comments point to additional ...
While the facts line up very similarly to The Robare Group’s case (see related story), the result at the ALJ level couldn’t be more stark. ...
It was all smiles in June when an SEC ALJ dismissed an enforcement action against The Robare Group ($160M in AUM) in Houston over Form ...
The policy is designed to provide personal liability coverage for CCOs at investment advisers and mutual funds
It’s been five years since Congress passed Dodd-Frank and the CFTC still hasn’t implemented required swaps data reporting rules. But it took a step in ...
Do you have someone from compliance at the branch office when FINRA is examining it? If not, you may want to rethink your current practice. ...
The CFTC proposes rules relating to swap data reporting in connection with cleared swaps for swap data repositories (SDRs), derivatives clearing organizations (DCOs), designated contract ...
A peer shares a copy of an NFA exam letter sent to a CPO/CTA adviser.
The Securities and Exchange Commission is adopting new Rules 15Fb1-1 through 15Fb6-2 and Forms SBSE, SBSE-A, SBSE-BD, SBSE-C and SBSE-W in accordance with Section 15F ...
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