Carl Ayers
Call it the holiday gift that keeps on giving. Late last month the President signed the most sweeping tax reform legislation in 30 years. Many ...
It would be fair to declare John Rogicki as a CCO who went bad. The former compliance officer at Train, Babcock Advisors ($434M in AUM) ...
Fort Worth, Texas-based TPG Capital Advisors ($51B in AUM) had disclosed to its private equity investors that it could receive accelerated monitoring fees after ending ...
FINRA is proposing a “streamlining” of rules covering outside business activities, responding to long-standing industry concerns, as well as a separate plan to strengthen its ...
Let’s admit that it’s hard to predict what will happen in 2018 after last year’s wild ride. Yet we have heard experts offer that the ...
There’s nothing like the turning of the calendar to give one thoughts of what to achieve in the New Year. We asked your peers ...
SEC Chairman Jay Clayton invited comments on what his agency should do regarding a uniform fiduciary duty standard and the industry has responded in waves ...
We’ve shared predictions for the regulatory year ahead (see related story). Now check out the regulatory calendar for 2018. Compliance Deadline Regulatory Action January 3 ...
Top officials at SIFMA are increasingly confident that the SEC will develop its own fiduciary rule proposal that will not conflict with the Department of ...