Carl Ayers
This correspondence is another OCIE document request letter that looks at business development companies.
A peer shares a copy of OCIE's exam letter that included a look at private equity.
Perhaps you’ve heard that the Consumer Financial Protection Bureau has approved a final rule that prohibits those who supply “certain consumer financial products and services” ...
Max Zavanelli spent his career in the financial services industry but the SEC seeks to bar him because some ads for his GIPS-compliant investment advisory ...
The passage of time into July triggered a new NFA requirement that CPOs and CTAs report their current assets divided by current liabilities and total ...
Recently, a FINRA official offered a road map for getting through your next exam – what examiners will be looking for, and how you can ...
In March, as part of a top-down review launched by CEO Robert Cook, FINRA sought public comment on its “engagement” programs (BD Watch, March 23, ...
Even though Daniel Winston LaMarco calls a prison cell home, he’ll have to deal with the CFTC charging him with running a Ponzi scheme and ...
That’s a lot of information that the Labor Department asks for in its new request for information seeking comments on whether its full fiduciary duty ...