Carl Ayers
Recently, Commission staff has received inquiries about circumstances in which a filer determines that it must file an other-than-annual amendment to Form ADV on or ...
If the new information update from the SEC’s Division of Investment Management feels like déjà vu, that’s because we reported its essence five weeks ago ...
It’s a reflection of how important the SEC considers cybersecurity that OCIE has now released its fourth risk alert on the topic in three years ...
Just five days before the CFTC’s position limits’ exemption rule was to take effect, the agency responded to industry concerns and announced a two-year delay ...
The threat of a cyber attack is clear (BD Watch, July 27, 2017). Regulators’ expectations? Not so pristine. Both FINRA and the SEC, for example, ...
What’s the likely future for the fiduciary duty rule? Will the SEC cooperate with the Labor Department on a uniform standard? These are among the ...
How you respond and how quickly you respond to a potential or actual data breach or loss is critical. Effectively communicating to your clients, employees, ...
The Department of Labor Aug. 9 filed a proposal with the federal Office of Management and Budget that seeks to delay its controversial fiduciary duty ...
The following FAQs provide information on (1) a “fiduciary status disclosure” issue under the Department of Labor’s ERISA section 408(b)(2) service provider disclosure regulation that ...