Carl Ayers
You now have more time to voice your opinions on FINRA’s “engagement initiative,” which was recently announced (BD Watch, March 23, 2017). The 30-page special ...
This is the legislation proposed by Rep. Jeb Hensarling's (R-Texas) that would reform the Dodd-Frank law and make other changes. It passed the House in ...
If beauty is in the eye of the beholder, then deciding what qualifies as a material change lies in the hands of the Form ADV ...
It took a jury five days in 2014 to decide that Charles Kokesh committed securities fraud by stealing tens of millions of dollars at two ...
Next Tuesday, George Palathinkal should learn how much time he may have to spend behind bars. The 55-year-old former CFO of an investment adviser lied ...
An unidentified investment adviser in Chicago trolling a hedge fund database came upon another adviser who claimed impressive returns using a “proprietary” algorithm. The Chicago ...
“Substituted compliance” is the phrase the CFTC uses to allow registrants to comply with its rules by satisfying another regulators’. But the Commission hasn’t been ...
The 60-day delay in the Labor Department’s fiduciary duty rule gives you more time to comply even if you’re left to spend it wondering what ...
Washington may be undergoing dramatic changes but there’s one constant: OCIE’s increasing exams of investment advisers. “OCIE is business as usual. We’re still doing ...