Carl Ayers
The impending introduction of MiFID II continues to reverberate on this side of the Atlantic (IA Watch, Nov. 30, 2017). The latest example comes ...
Only one type of PE fund adviser tends to use its funds to pay to cover SEC RIA registration as well as related compliance costs. ...
The CFTC can tweak its rules to create a “clear and predictable” regulatory approach that would resolve problems of “market fragmentation” and promote the international ...
A peer shares OCIE's document request letter from a recent exam.
The December 14th Federal Register includes new Investment Company Act rule 30b1–9(T) (temporary rule regarding monthly report) that officially delays until April 2019 the start date ...
This document corrects two errors in the preamble of a document that appeared in the Federal Register on November 29, 2017.
Like holiday songs filling the air once again in December, so, too, does the National Futures Association remind CPOs and CTAs that claim exemptions from ...
Two new amended applications for exemptive relief under the SEC’s pay-to-play rule suggest the agency wants to see more evidence of a robust response by ...
Nobody likes the rules covering outside business activities or private securities transactions. FINRA is conducting a review with an eye toward making changes (BD Watch, ...