Heather Ayers
A new ALJ decision that finds fault with a CCO who argued he was just doing his job may well apply more pressure on SEC ...
Anne Plimpton of McDermott Will & Emery gave us permission to share her memo on Exchange Act section 16 filings, including so-called Form 4 and ...
The attorney for The Robare Group ($160M in AUM) argues the SEC Enforcement Division exaggerated claims that his client’s ALJ victory in June could set ...
This is the proposed rule that would require investment advisers to mandate an anti-money laundering program. This was proposed by FinCEN, a part of the ...
All SEC-registered investment advisers would have to create “a written risk-based AML program” should FinCEN’s new proposed rule be finalized. Thirteen years after initially proposing ...
Add another voice to those clamoring for the SEC to dampen fears among compliance officers that they will be charged for missing the violations of ...
Mark Lay sits in prison after a fraud conviction and a sentence due to run through 2018. The former investment adviser likely saw his last ...
Broker-dealers aren’t alone in being able to satisfy a component of general solicitation rules by claiming a pre-existing relationship. Recent SEC updates make clear that ...
Regulators have made it clear they want brokers and advisers to do a better job for senior investors. And they are taking action against those ...