Carl Ayers
The Employee Benefits Security Administration of the U.S. Department of Labor (the Department) is publishing this Request for Information in connection with its examination of
the ...
We’ve already reported that if you make an “other-than-annual amendment” to your Form ADV, Part 1A after Oct. 1, then you’re going to confront a ...
Perhaps it’s not surprising that the principle/CCO of an RIA that operated out of a town many believe was named after Moby Dick author Herman ...
With FINRA using data analytics and other high-tech tools that zero in on risk, the exam process is now more focused than ever. That means ...
It’s official. The SEC’s Division of Investment Management has released a new information update formally revising its FAQs for mid-sized advisers to make clear that ...
The FAQs have been modified to remove the listing of the state of Wyoming as a state in which a mid-sized adviser would not be ...
With cybersecurity risks threatening our privacy, it’s no wonder some would seek technology to shield their communications from prying eyes. But you can also understand ...
Signs had already pointed to a significant increase in IA exams by OCIE this year (IA Watch, April 13, 2017). SEC Chairman Jay Clayton told ...