Carl Ayers
To provide immunity from suit for certain individuals who disclose potential examples of financial exploitation of senior citizens, and for other purposes.
It’s not often the U.S. Supreme Court agrees on a topic unanimously but it did so Dec. 6th in upholding a lower court’s insider trading ...
‘Tis the season for joy – and it seems OCIE exams of advisers. We’ve heard the same thing from many people across the country over ...
Congress via Dodd-Frank in 2010 ordered the CFTC to set position limits for derivatives as a way to limit excessive speculation. The CFTC has now ...
Until a consultant reported the cyber threat to the CFTC, the Commission didn’t know that a common online method for registrants to share sensitive financial ...
It’s not unexpected as an Administration shifts in Washington that government officials begin to move on. The latest example of this is the announcement that ...
Seven years after the SEC first threatened to retract its temporary principal trading rule, it’s finally going to happen when 2016 ends (IA Watch, Sept. ...
It only affects certain investment advisers but know that if you manage more than $200 million in foreign securities, you must file Treasury Form SHC ...
Perhaps the survey could be biased in that only compliance officers happy in their jobs would be more likely to respond, but a new study ...