Carl Ayers
The old adage regarding your compliance policies and procedures rings true again: Do what you say you’re going to. That lesson has come home for ...
Glimpses of the road ahead at the CFTC can be seen through the words of new Chairman Christopher Giancarlo. He’s promised to reduce regulatory burdens, ...
The hits keep coming for Samuel Lek and his embattled New York-based broker-dealer Lek Securities. FINRA and a slew of exchanges announced March 27 that ...
It appears that Daniel Glick was a classic recidivist who preyed on senior investors. The Chicago-based investment adviser and his unregistered investment advisory firm Financial ...
A career as a Wall Street lawyer creates many relationships. The heat in an otherwise lukewarm Senate Banking Committee hearing on SEC Chairman nominee Jay ...
You wouldn’t be alone if you felt this month’s “information update” from the SEC’s Division of Investment Management on use of the so-called Unibanco letters ...
Take in one more sign that there’s a new sheriff in town. A new decision by an SEC ALJ bars an adviser who has spent ...
Its prospects never looked good, given the same judge that denied the plaintiffs’ lawsuit challenging the Labor Department’s fiduciary duty rule would also rule on ...
Comments about the CFTC’s proposed recordkeeping rule should provide a test of the new Trump Administration’s regulatory philosophy (CPO/CTA Watch, Jan. 18, 2017). The industry’s ...