Carl Ayers
Stray from your valuation P&Ps and you up your risks of regulatory trouble. Same goes if you routinely fail to use the valuations supplied by ...
Senators are going back to the well once more in a bid to increase the SEC’s enforcement penalties and further crack down on recidivist activity. ...
This document extends for 60 days the applicability date of the final regulation, published on April 8, 2016, defining who is a “fiduciary” under the ...
The April 7 Federal Register contained a final rule officially pushing off the applicability date of the Labor Department’s fiduciary duty rule for 60 days. ...
A peer shares a copy of OCIE's exam letter.
Acting SEC Chairman Michael Piwowar has occupied his perch for little more than two months but has already stirred the ire of Senator Elizabeth Warren ...
The complete story of the hack of an adviser’s critical client data may never be fully disclosed but court records reveal the FBI looked at ...
Unless your firm’s based in Alabama or South Dakota, you have an obligation to notify clients if their data are breached (IA Watch, Oct. 16, ...
Over a half-century removed from the last comprehensive review of market structure, a new study of the securities markets is targeted for completion in 2020. ...