Carl Ayers
Gemmer Asset Management permits IA Watch to share with you its cybersecurity policy related to access to client information.
A peer shares a copy of the RIA's SEC document request letter from a 2015 exam out of the SEC's New York Regional Office.
A peer shares an example of a form that provides details of a cross trade.
Coming up with a workable industry benchmark for a compliance budget – given the variety of business models and firm sizes – can be harder ...
This one stemmed from an OCIE exam launched in 2015.
Confusion over the custody rule continues to reign more than five years after the SEC revised the rule. And even OCIE examiners don’t always agree ...
For months, you’ve heard the dire warnings from many in the industry about the real world effects should the Department of Labor’s fiduciary duty proposal ...
A need exists to develop “criteria and thresholds” that could trigger joint action by the financial services industry and the government in the event of ...
The SEC again extended the deadline for broker-dealers having to comply with the final phase of the large trader rule, and raised the possibility it ...