Carl Ayers
Two years ago, the number of private equity funds topped hedge funds, and that trend continues as evidenced by the release of the latest aggregate ...
To their supporters, compensated non-attorney reps—aka NAR firms—are one of the few ways that a small investor can recoup losses in arbitration. To their detractors, ...
This document makes a technical correction to a form amendment that was published in the Federal Register on July 1, 1997 (62 FR 35338). The ...
One sign many are taking from the new SEC FAQs is that the agency will reject industry pressure and implement its liquidity risk management rule ...
Here are the main requirements of Investment Company Act rule 22e–4 (liquidity risk management programs)(see related story): Develop relevant compliance P&Ps. These should cover the ...
From a compliance perspective, anti-money laundering programs have always drawn special attention. AML was recently highlighted by FINRA in its first-ever consolidated exam findings report ...
A peer shares the firm's initial document request letter.
An advertising case that led to an adviser being barred is now headed to the U.S. Supreme Court. On Jan. 12th, the High Court ...