Carl Ayers
It’s difficult for regulators to keep up with change, especially in the information age. But CFTC commissioners have unanimously voted to propose updating its books ...
Only days after OCIE’s 2017 exam priorities recorded examiners’ interest in public pension advisers and compliance with the pay-to-play rule (IA Watch, Jan. 12, 2017), ...
You need to go back to August 2011 when Exchange Act rule 21F-17 (staff communications with individuals reporting possible securities law violations) went into effect ...
Statutory disqualification rules most profoundly affect individuals who fail to disclose a DUI or a tax lien. But firms have duties, too. Here are some ...
Given the seriousness of the issue and the risk to all regulated entities, certain regulatory minimum standards are warranted, while not being overly prescriptive so ...
The proposed amendments would implement Title LXXXVI of the FAST Act and make associated changes to the Commission’s regulations governing the grant of access to ...
Like the FAQs the Department issued on October 27, 2016, on the Prohibited Transaction Exemptions, these FAQs focus particularly on specific technical questions raised by ...
Even as a new Administration takes office that many believe will bury the Labor Department’s controversial fiduciary duty rule, the industry is poring over a ...
This release, from January 2017, describes the top exam priorities for the SEC's Office of Compliance Inspections and Examinations for 2017.
New items you’ll find in OCIE’s list of 2017 exam priorities include robo advisers, an expanded never-been-examined effort, money market fund advisers, “financial exploitation” of ...