Carl Ayers
Consider that you’ve been served notice. OCIE’s latest risk alert pinpoints the five most troublesome areas found during exams. They’re topics that advisers should have ...
If you’re a large enough private fund adviser that markets into the EU, then you already quarterly file certain data reports with overseas regulators to ...
Words are powerful. Take the custodian that, when notified that OCIE examiners were conducting an exam of an investment adviser, sent correspondence to the IA’s ...
This chart was published in a GAO report from late 2016. It reveals the organizational chart at the Securities and Exchange Commission.
More evidence that OCIE’s wrap fee program sweep has produced results (IA Watch, Aug. 4, 2014). The dual-registrant Citigroup Global Markets settled charges of compliance ...
Acing a test. Winning a game. Picking a great stock. Who’s beyond a little boasting when one succeeds? As tempting as this can ...
It’s going on three years since the SEC’s Enforcement Division filed charges claiming The Robare Group ($160M in AUM) in Houston failed to disclose revenue-sharing ...
Mere hours passed after President Trump was sworn in as the 45th President before he issued a memo to agency heads. The brief memo instructed ...
Should you rely on a vendor to keep required records, don’t assume the documents will be there when you need them. That’s one lesson ...