Carl Ayers
SEC commissioners acted Feb. 21 to push back the start of its liquidity risk management rule from this December to June 2019. The motive was ...
You’re only two months away from the effective date of a new EU rule that carries potentially hugely expensive penalties for violations. Perhaps you’ve ...
Now that you have four months to decide whether to take advantage of the SEC’s offer to self-report share class violations, don’t dally (IA Watch, ...
The latest cooperation agreement between the CFTC and the FSA has the two regulators promising to work together to spur the use of financial technology. ...
The Securities and Exchange Commission is adopting an interim final rule that revises the compliance date for the requirements of rule 22e-4 for classification, highly ...
The Commodity Futures Trading Commission (the “Commission”) is amending its primary definitions regulation to make it more user-friendly both to industry and the public. Specifically, ...
The whole culture changed at Phoenix’s Alpha Fiduciary ($401M in AUM) after the RIA settled an advertising enforcement action that held the firm “failed to ...
Among the plethora of changes you face in updating your new Form ADV, Part 1 you’ll find two items that zero in on your payment ...
Mark your calendar for Thursday, April 12th. That’s the day that OCIE and the Division of Investment Management set for their first compliance outreach program ...
The wild west of FinTech may have to be corralled before innovations like Blockchain or distributed ledger technology enjoy the widespread use its proponents imagine. ...