Carl Ayers
This CFTC proposed rule from 2015 would apply margin requirements to cross-border transactions, as a well to close a loop-hole regarding international swaps.
Only five SEC enforcement actions in the last 11 years have cited CCOs for violations of the compliance rule, according to SEC Commissioner Luis Aguilar. ...
Mark July 31 as the official start of the pay-to-play rule’s long delayed ban on third-party solicitation. However, the compliance date loses significance for firms ...
This release from June 2015 recommends compliance staff dig deeper when determining that an access person's trading doesn't need review because it qualifies for an ...
You may wish to do more before deciding an access person’s personal trades don’t need to be reviewed because they supposedly fall under the code ...
The initiative will dig into investment recommendations, conflicts, compliance and marketing
Last week, we alerted you to a new sweep exam by OCIE that digs into firms’ whistleblower policies (IA Watch, June 18, 2015). IA Watch ...
Morgan Stanley Wealth Management recently added a Culture, Values and Conduct Committee to its Enterprise Risk Management framework to help build a better culture of ...