Carl Ayers
Like the FAQs the Department issued on October 27, 2016, on the Prohibited Transaction Exemptions, these FAQs focus particularly on specific technical questions raised by ...
Even as a new Administration takes office that many believe will bury the Labor Department’s controversial fiduciary duty rule, the industry is poring over a ...
This release, from January 2017, describes the top exam priorities for the SEC's Office of Compliance Inspections and Examinations for 2017.
New items you’ll find in OCIE’s list of 2017 exam priorities include robo advisers, an expanded never-been-examined effort, money market fund advisers, “financial exploitation” of ...
If you stopped reading halfway through the SEC’s new decision against Wing Chau, CEO/CCO of Harding Advisory ($678M in AUM) in Boca Raton, Fla., you ...
It appears that owner and CCO Mark Robare has granted his attorney permission to appeal November’s SEC decision by the three commissioners. That decision found ...
The SEC has done it again – given regulatory guidance sparked by the Labor Department’s fiduciary duty rule (IA Watch, Jan. 5, 2017), which kicks ...
Despite cybersecurity threats, automation often beats a human using a manual method. J.P. Morgan Securities relied on one employee using a largely manual process ...
On the same day that President Obama gave his farewell address, CFTC Chairman Timothy Massad – with only days left in his term – gave ...