Carl Ayers
Some dispute that the recent SEC document request letter on business development companies that we shared with you comes from a sweep exam (IA Watch, ...
You can assume Andrea Sayago’s busier than the average CCO – given that she’s the named CCO for 11 RIAs. Like Sayago, Cheryl Vohland’s ...
KMS Financial Services ($5.9B in AUM) in Seattle freely disclosed in its Form ADV that it had a relationship with a clearing broker. The dual-registrant’s ...
January can seem a long way away in July but the start of MiFID II early next year will require certain firms to take actions ...
Get ready to submit some “test” filings of new Forms N-PORT and N-CEN later this year when the SEC releases a new version of EDGAR. ...
It’s round two for Hester Peirce. President Trump has nominated her to fill a five-year term as SEC commissioner. If that name sounds familiar, it’s ...
Things really have to be bad if your regulator gives you a deficiency letter warning that your use of a discounted cash flow method to ...
At least in theory, supervisors are your front line of defense, the managers on the ground who monitor daily activities; while compliance writes policies and ...
Big changes in outside business activity regulation are coming – at least if commentators on the subject of FINRA’s latest retrospective rule review have their ...
A peer shares a copy of an OCIE document request letter that focuses on exchange-traded funds.