Carl Ayers
Exchange-traded funds, a continuation of the ReTIRE initiative, the suitability of variable annuities and private placements under Reg D are among the new priorities OCIE ...
Karen Barr took over the Investment Adviser Association as president/CEO in November 2014 (IA Watch, Sept. 25, 2014). According to the association’s latest IRS-990 filing, ...
This document identifies selected 2016 examination priorities of the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission. In general, the priorities ...
All of that attention in recent years from OCIE on the issue of distribution-in-guise payments by mutual funds has resulted in new guidance from the ...
There’s a lot that’s new in FINRA’s 2016 exam priorities letter. Data quality, internal audit and client on-boarding are “in” compared with the 2015 letter ...
Five years after being charged with marking the close of some trades, former adviser Donald Koch is asking the U.S. Supreme Court to vacate the ...
CFTC rules require principals involved in futures or swaps deals with registered entities to submit fingerprints so the FBI can look for any criminal past. ...
Jeff Suhanic, CCO of PNC Investments, has some big goals in mind for 2016. They include nurturing a customer-oriented system of resolving complaints, and improving ...