Carl Ayers
A battle royale shapes up between an adviser and the SEC over claims the firm’s CCO was both negligent and derelict in his duties, while ...
"These disclosure requirements, while enabling fund shareholders to monitor fund voting, also make asset managers sitting ducks for pressure campaigns from social and political activists and ...
Two high-profile and costly SEC enforcement cases point to the need to re-examine how your firm handles cash management—especially in an era of rising interest ...
Recent expensive SEC enforcement settlements related to cash sweep accounts suggest actions compliance officers should take to avoid similar missteps
CCO named in legal action, firm counters that the SEC retaliated against, and much more
The CFTC and the SEC are extending the compliance date for the Form PF amendments from March 12, 2025 to June 12, 2025
You can aspire to do all the right things when it comes to cybersecurity, and your vendors may do so as well. Yet trouble can ...
The wording of the expenses also left much to be desired
As to whether future defendants should seek examiners’ materials to defend themselves, 'I think it would be a very effective argument'
Why you need to expand your cyber surveillance, lessons around fund expenses, the right to see SEC examiner documents and much more