Carl Ayers
An attorney for Ray Lucia, the investment adviser who has spent the last four years challenging an SEC ALJ finding that he engaged in misleading ...
Few executives blunder as big as Mark Wiedman did when the Blackrock Advisors’ ($544B in AUM) senior managing director contributed $2,700 to last year’s Presidential ...
How does FINRA prepare for an exam? What are examiners looking for once they knock on your door? Here’s a peek into one senior examiner’s ...
A peer at an investment advisory firm that has BDC funds shares a copy of a OCIE sweep exam letter sent to the firm.
A peer shares a copy of a sweep exam letter that looked at how the advisory firm handles and oversees electronic messaging.
The Commodity Futures Trading Commission (the ‘‘Commission’’ or ‘‘CFTC’’) is adopting final rules to establish new and amend certain existing delegations of authority to Commission ...
A peer shares an example of a supplement to a subscription agreement to make ERISA reps and warranties because of the Labor Department's fiduciary duty ...
Once again you’re being asked to share your comments about standards for financial professionals, but it’s not by the SEC this time (IA Watch, June ...
Keeping track of one regulator’s rules can be challenge enough for a diligent compliance officer. The task can be confounding when you have multiple regulators ...
Trump Tower and Trump Plaza may prominently display the President’s name, but the identity on the buildings’ mortgages link to an investment advisory firm. ...