Carl Ayers
New Rule 901(a)(2)(i) of Regulation SBSR requires a registered clearing agency to report any security-based swap to which it is a counterparty. The Commission is ...
FINRA has no qualms about aggressively prosecuting AML cases involving the microcap business. That message was delivered by the SRO’s enforcement executive VP Brad Bennett ...
Small can be beautiful but things can get ugly when it comes to finding all the resources you need to do your job. Compliance officials ...
What are the priorities for FINRA’s market regulation department? Where will its vaunted surveillance group turn up next? What should you expect from its new ...
The foresight inherent in decreeing that investment advisers have written business continuity and transition plans could be seen as quickly as a look to the ...
The SEC has long trained its sights on wrap fee programs (IA Watch, Aug. 4, 2014). The latest example of its interest can be seen ...
Regulations as extensive and complex as the Department of Labor’s fiduciary duty rule are likely to have a few words out of place. Two new ...
OCIE is seeking to identify conflicts of interest tied to advisers’ compensation or financial incentives for recommending mutual fund and 529 Plan share classes that ...
If your firm receives revenue from the sale of mutual funds, be sure you have compliance P&Ps designed to avoid placing clients in a more ...