Carl Ayers
Four years after the U.S. Supreme Court limited the SEC to bringing legal actions within five years of any alleged misbehavior, the High Court has ...
Ten days after new Labor Department Secretary Alex Acosta encouraged the SEC to enter the fray over a uniform fiduciary duty standard for investment advisers ...
Given the June 9 start date of the Labor Department’s fiduciary duty rule (IA Watch, May 23, 2017), here’s a sample of what your peers ...
If you don’t run the numbers in helping to ensure fair trading allocations, know OCIE will. A new cherry-picking enforcement action again stresses that your ...
The “Ask FINRA Senior Staff” panel concluded the SRO’s annual conference again this year, giving firms the rare opportunity to put the regulator in the ...
The CFTC’s new final rule on recordkeeping (CPO/CTA Watch, May 25, 2017) appeared in the Federal Register May 30. It announces that the rule will ...
If a dispute over a swap deal involves more than one swap dealer or major swap participant counterparty, than each swap dealer/MSP would be required ...
An adviser shares a copy of its SEC document request letter from its recent exam.
Two weeks and counting. While the Labor Department won’t delay further next month’s implementation by the industry of “impartial conduct standards” under its fiduciary duty ...