Carl Ayers
FINRA is taking more baby steps to loosen up its advertising and communications rules. But it is also starting to raise a more fundamental question ...
For three years, EU authorities have kicked around the idea of adopting a data protection regulation. Predictors believe that regulation will be finalized in the ...
This is a copy of an SEC sweep exam looking at fixed income portfolios. This was shared by a CCO peer.
This document request letter showcases an OCIE exam of an alternative mutual fund and focuses on how it deals with liquidity issues.
This change to the SEC's FOIA regulations allows the Commission to collect fees that reflect its actual costs, add an appeals time frame that will ...
Large banks affiliated with investment advisers should already have figured out if they must halt proprietary trading and divest of their sponsored private funds to ...
The result could hardly have ended any worse for Michael Carino, CCO at AlphaBridge Capital Management ($296M in AUM) in Greenwich, Conn. The SEC says ...
By all accounts, FINRA’s risk-based examination program has been a success. Using analytics, the SRO is zeroing in on a handful of topics to review. ...