Carl Ayers
Stefan Lumiere will learn his fate in May – when he will be sentenced for securities fraud that could keep him behind bars for decades. ...
Say, your Form PF deadline has arrived yet your fund’s auditor hasn’t completed its work. What should you do? Place “estimated values” for the ...
FINRA has issued a new report assessing the potential operational and regulatory impact of blockchain technology. The report provides a basic overview of blockchain technology ...
A peer shares the firm's document request letter from a recent SEC exam. One topic of interest is whistleblower P&Ps.
The amendments would integrate existing advisory guidance and the amendments to part 9 would also incorporate swap execution facilities (‘‘SEFs’’) and update provisions currently applicable ...
This rule sets forth the maximum, inflation adjusted dollar amount for civil monetary penalties (CMPs) assessable for violations of the Commodity Exchange Act (CEA) and ...
The Securities and Exchange Commission (“Commission”) is (i) extending certain temporary exemptive relief originally provided by the Commission in connection with the revision of the ...
In view of the growing globalization of the world's financial markets and the increase in cross border operations and activities of regulated entities, the United ...
More evidence has appeared that if you serve as CCO at a firm that’s alleged to have perpetuated a fraud, you can suffer an enforcement action ...