Carl Ayers
Attending Harvard University offers no guarantees that you can survive in the rough and tumble world of highly leveraged futures and forex trading. Just ask ...
Only two conditions in the memorandum of understanding between the CFTC and the European Securities and Markets Authority would deny the regulators from cooperating in ...
The nation’s largest public pension fund has been engaged in a bitter dispute with Thomas H. Lee Partners over accelerated monitoring fees, reports our sister ...
It’s possible that by the time you read this, the NFA will have the power to fine CPOs and CTAs $200 per day when they’re ...
IA Watch has obtained OCIE’s phase 2 document request letter of its cybersecurity sweep exam (IA Watch, Sept. 17, 2015). The layout of the document ...
This letter went to a peer in 2016 that went through OCIE's phrase 2 of its cybersecurity sweep.
It had long been expected, and on June 1 a group of industry and business groups fulfilled the prophecy by filing a lawsuit in federal ...
The vast majority of investment advisers don’t seem sold on the promise of social media but a few report they’re seeing payoffs from their posts. ...
The issue of whether the SEC’s appointment of its administrative law judges satisfies the Constitution is moving closer to the U.S. Supreme Court – literally ...