Carl Ayers
There’s no disputing that how private equity fund advisers handle fees and expenses occupies a top interest among SEC examiners. Consider additional avenues to disclose ...
Only the European Parliament stands in the way of blocking what looks like a sure eventuality: adoption of the EU’s new data protection rule (IA ...
Commodity pool operators must prepare three types of periodic financial statements. 1. Describing their financial condition 2. Detailing any income loss and 3. Reporting changes ...
It took only six months for former U.S. Senator Judd Gregg to determine that the CEO job at SIFMA was not for him but the ...
In the financial services industry, time is often marked by before and after Dodd-Frank. Before the reform law took effect in 2010, swap trading was ...
Turns out 2015 wasn’t a record year for the CFTC after all. Last fall, the Commission boasted of having assessed record fines during the fiscal ...
It’s not a revelation that private equity fund advisers hired CCOs after Dodd-Frank took effect in 2010. The law required larger PE firms to register ...
This comes courtesy of Ben Anderson, principal with Anderson PLC in Minneapolis.
Below is a summary of several of the annual compliance obligations imposed on ...
This guide, published by the NFA in 2016, describes what's required of registrants, including commodity pool operators, commodity trading advisors and futures commission merchants. It ...