Heather Ayers
Tim Hickman of White & Case in London gives RCW permission to share with you his firm's flowchart to help you determine if you are ...
To promote economic growth, provide tailored regulatory relief, and enhance consumer protections, and for other purposes.
The Commodity Futures Trading Commission (Commission) is amending Rule 143.8, its rule that governs the maximum amount of civil monetary penalties, to adjust for inflation. ...
TD Ameritrade gives us permission to share with you its checklist for meeting the SEC's seven conditions regarding custody.
It’s been one year since the SEC issued its long-awaited guidance concerning custody (IA Watch, Feb. 23, 2017), yet confusion continues to reign. This is ...
Although the SEC’s proposed target date fund rule never became final, the lack of regulation hasn’t deterred OCIE. IA Watch has obtained a document request ...
All the fuss over the Labor Department’s fiduciary duty rule (before it fizzled) left many firms pursuing the best practice of comparing a client’s expenses ...
While OCIE has had its ReTIRE initiative in place for three years, a new document request letter reveals a twist (IA Watch, June 25, 2015) ...
The six-month delay affecting parts of the SEC’s liquidity risk management program may not be enough (IA Watch, Feb. 22, 2018). “The reprieve is ...