Carl Ayers
All the fuss over the Labor Department’s fiduciary duty rule (before it fizzled) left many firms pursuing the best practice of comparing a client’s expenses ...
While OCIE has had its ReTIRE initiative in place for three years, a new document request letter reveals a twist (IA Watch, June 25, 2015) ...
The six-month delay affecting parts of the SEC’s liquidity risk management program may not be enough (IA Watch, Feb. 22, 2018). “The reprieve is ...
It seems Riordan Lewis & Haden ($707M in AUM), a Los Angeles-based private equity fund adviser, was intent on getting money from the government one ...
Protecting senior investors from speculative or unduly complex products has been a well-known priority for FINRA. But suitability issues are not the only ones that ...
RCW had debated the very issue decided by the court seven years ago in a story looking at whether anti-retaliation protections apply to CCOs
A FINRA proposal giving broker-dealers the flexibility to conduct remote inspections of “qualifying offices” is getting qualified support from your peers. Their question: Good start, ...
Everybody seems to be talking about cryptocurrencies. It’s one reason OCIE has made it a new item on its 2018 exam priorities’ list (IA Watch, ...