Carl Ayers
OCIE’s been examined and no deficiencies were found – although its documentation procedures could be improved. Some advisers will find irony in the new ...
For all the chatter about cybersecurity, industry practices are still falling short. Take access management. Firms, big and small, continue to struggle “even ...
This week, two attorneys from separate law firms will be deposed in an SEC enforcement case that even the ALJ has described as one offering ...
One must be pretty bad in the compliance role for the SEC to bar a person from serving as CCO. In a new settlement, ...
It was one of the biggest SEC enforcement settlements in recent history. PIMCO ($1.4T in AUM) in Newport Beach, Calif., agreed last year to pay ...
A major decision came down July 25 from the SEC’s Enforcement Division declaring that offerings made via blockchain and other new technologies may well be ...
FINRA is sinking a lot of time and effort into a review of its operations, from the rulemaking process to how it engages with the ...
The DAO is one example of a Decentralized Autonomous Organization, which is a term used to describe a “virtual” organization embodied in computer code and ...