Heather Ayers
It is our privilege to share with you the 2018 examination priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities ...
The newest list of OCIE exam priorities resembles past ones in that many of the topics match what the agency put out last year. But ...
All this story’s missing is the screenwriter. The real-life characters include a failed politician turned skillful fraudster. He heads to prison next month. Add ...
Advocates holler that FinTech will drive the future of financial services. But first you have to define what it is. The term “is vague ...
The client, a retired businessman in his 80s, had been with Morgan Stanley for decades before James Polese became his rep eight years ago. The ...
Merrill Lynch’s decision late last year to pay $26 million to settle allegations relating to its anti-money laundering program shows the problems large firms face ...
Mark Twain famously stated that there are three kinds of lies: “lies, damned lies, and statistics.” That saying comes to mind with news that CFTC ...
An avalanche of eight enforcement actions from the CFTC has hit traders around the world, plus three of the planet’s largest financial services firms. ...
This is an initial document request letter sent to an investment adviser located within the SEC's Philadelphia Regional Office.