Heather Ayers
First, the SEC announced the inaugural whistleblower award to a compliance officer (IA Watch, Sept. 5, 2014). Now, the agency unveiled last week its largest ...
There may be a crying need for more regulatory exams of advisers but OCIE examined about 1,000 IAs in the fiscal year ending this week. ...
Even the SEC recognizes its advertising and marketing rules for advisers aren’t easy. “Advertising and marketing is a really challenging and difficult area,” said ...
Karen Barr, the long-time general counsel of the Investment Adviser Association, will succeed retiring head David Tittsworth, the IAA has announced. Tittsworth revealed earlier this ...
That sweep of investment advisers and broker-dealers announced earlier this year to look at how firm’s deal with cybersecurity has concluded (IA Watch, April 21, ...
Odds are that within three feet of where you are lies your cell phone or other mobile device. These tools have become ubiquitous. It’s tempting ...
A major stumbling block preventing serious consideration of a user fee bill to pay for more SEC exams of advisers has been the lack of ...
The wait’s over if you’re among those dually-registered advisers that hung back on using the new general solicitation authority to advertise private funds because you ...
Securities regulators, broker-dealers and other financial institutions will form a working group to figure out how to make brokerage fee disclosures easier for investors to ...