Carl Ayers
Irony springs from the SEC ALJ’s decision to dismiss fraud charges against former investment adviser Lynn Tilton given that she had earlier challenged the constitutionality ...
Be sure you have a compliance P&P for alerting you when a transaction has cleared your CPO account. That’s a confirmed takeaway from a CFTC ...
Firms that uncover wrongdoing and come clean to the CFTC can expect “a significantly reduced penalty,” and, for “truly extraordinary” cases, the Commission may even ...
Mike Lundy had run Primerica Financial Service’s office in Rapid City, S.D., for so long that it could have been assumed that everything was hunky-dory. ...
Turns out OCIE’s on track to boost its 2017 exams even more than predicted (IA Watch, April 13, 2017). SEC Chair Jay Clayton told Congress ...
Dissect the words SEC Chairman Jay Clayton told Congress Sept. 26 and you find no pledge to adopt a uniform fiduciary duty standard – four ...
They may not be great in number but the SEC’s Boston Regional Office has returned to doing something that had been curtailed to only cases ...
“Advertising has been a perennial issue for us,” said Kevin Kelcourse, associate OCIE regional director in Boston, in explaining OCIE’s newest risk alert. It points ...
You may well be among the millions of Americans shocked to learn of the widespread cyber hack of Equifax’s sensitive customer data to do what ...