Carl Ayers
This is a final rule from the CFTC released in September 2015 that essentially requires Commission-registered entities to be members of the National Futures Association. ...
You’ve known since Dodd-Frank passed and ordered the SEC’s Division of Investment Management to once again employ examiners that firms would have to worry about ...
It’s common for private equity limited partnership agreements to contain the right for the adviser to set up coinvestment vehicles. The term can mean many ...
The SEC has targeted yet another radio show host linked to suspect activity (IA Watch, Sept. 4, 2015). This time it’s the paid radio show ...
Another brick in the SEC’s road in regulating securities-based swaps would be laid down in a new proposed rule requiring swap data repositories to share ...
Sometimes, it seems, technology creates more problems than it solves. It’s relatively easy, for instance, to archive tens of millions of e-mails and other communications. ...
A new final rule from the CFTC would require commodity pool operators, certain commodity trading advisors and introducing brokers to either become or remain a ...
Sometimes the regulatory obligation falls to another party but ends up involving you anyway. So it is with the CFTC’s ownership and control report rule. ...
The Public Company Accounting Oversight Board published late last month its first staff inspection report detailing the objectives, focus and scope of its ongoing inspections ...