Carl Ayers
This letter showcases the topics of interest from an SEC exam that's part of its ReTIRE initiative. This letter comes courtesy of Jason Roberts, CEO ...
After four years of clashing with the SEC over fraud charges, Nicholas Rowe, the former president of the advisory firm Focus Capital Wealth Management, finally ...
Carlo di Florio’s move from heading OCIE to being FINRA’s chief risk officer in 2013 is paying off (IA Watch, May 13, 2013). According ...
FINRA has made clear it wants to see firms more committed to a culture of compliance in 2016 (IA Watch, Jan. 7, 2016). Recently, we ...
The effective date for subpart U, which adds Form Funding Portal, was inadvertently omitted in the DATES section of the Federal Register. This correction adds ...
This example may give you ideas for improving your firm's custody policy and procedure.
New OCIE Director Marc Wyatt is putting his stamp on the IA exam program in a big way. Sources tell IA Watch that reports OCIE ...
The Department of Labor Jan. 28th sent its controversial fiduciary duty final rule to the federal Office of Management and Budget. OMB has 90 days to ...
You knew it wouldn’t take long for the CFTC to cite the Bank of England’s report on cleared swaps (see related story). “Trading on ...