Carl Ayers
Several years ago, the SEC granted relief for registrants facing conflicting Commission and ERISA rules (IA Watch, Nov. 7, 2011). Earlier this year, an SEC ...
Today, SEC Chair Mary Jo White, in addressing Congress, stated that staff are “preparing a recommendation to the Commission for proposed rules requiring third-party compliance ...
A year after a former OCIE examiner resolved his case of violating SEC ethics rules regarding securities holdings (IA Watch, April 28, 2014), another case ...
Seven months after taking over as acting director of the SEC’s Office of Compliance Inspections and Examinations, Marc Wyatt was named the formal OCIE director ...
This chart shows how to present past-specific recommendations in line with the SEC's TCW no-action letter.
Recent enforcement actions demonstrate that best execution hasn’t slipped from regulators’ list of inquiring topics. An examination by IA Watch of several best execution ...
A peer shares an example of his firm's "scorecard" for judging which brokers to use under its best execution policy.
All the recent talk about CCOs being worried about being named in an enforcement action has left compliance staffers globally “feeling particularly vulnerable” to being ...
The FY2015 enforcement numbers for the CFTC are in and they – like the SEC’s – boast of record fines. The Commission ordered $3.14 billion ...