Carl Ayers
The Commodity Futures Trading Commission (“Commission”) is amending its regulations and forms to enhance the process for reviewing whistleblower claims and to make related changes ...
Nine months after the SEC charged Leon Cooperman and his New York-based RIA Omega Advisors ($6.1B in AUM) with insider trading and beneficial ownership reporting ...
You hear it so much it can be easy to dismiss it as hyperbole: an enforcement action comes with reputational harm. That appears to ...
Despite uncertainty about whether the Labor Department’s fiduciary duty rule will live or die –especially after its delay (IA Watch, April 13, 2017) – there’s ...
You can often hear Jeff Kleintop sharing his market analysis on CNBC and Fox Business News. In a presentation May 17, the Schwab senior VP ...
It may be a good thing that Brian Quintenz shut down his CPO late last year and withdrew its NFA membership. President Trump has nominated ...
In March, the CFTC decided to extend the deadline to May 15 for comments to its proposed capital requirements rule targeting swap dealers and major ...
Saying the nation’s “vital national interest” depends on supporting new technologies to keep our markets competitive, Acting CFTC Chairman Christopher Giancarlo announced LabCFTC – a ...
This Risk Alert highlights the importance of conducting penetration tests and vulnerability scans on critical systems and implementing system upgrades on a timely basis