Carl Ayers
The proposed amendments would permit recordkeepers to leverage advances in information technology as a means to reduce costs associated with the retention and production of ...
Leaders of a New York-based private equity adviser are used to judging the value of potential portfolio companies. They hired an IT company and then ...
This legislation from 2017, if passed, would require approval by Congress before any rules promulgated by the Executive branch could go into effect.
This legislation, proposed in 2017, would require the SEC to accompany any new rules with extensive costs and benefits analysis. It would also require the ...
This adjustment will apply to all penalties imposed after the effective date of this final rule for violations after November 2, 2015. For violations that ...
Form N-1A is to be used by open-end management investment companies, except insurance company separate accounts and small business investment companies licensed under the United ...
If your firm is following the trend of more IAs opening up branch offices, you’re advised to develop compliance P&Ps for monitoring the locations. ...
In a year when you’ll face some of the biggest changes to Form ADV in quite some time (IA Watch, Sept. 1, 2016), the SEC ...
There appears to be no interest at the SEC to push a uniform fiduciary duty standard but the agency has had to acknowledge that the ...
The bill has come due for former MF Global CEO Jon Corzine, who presided over the firm’s bankruptcy and misuse of customer assets. The CFTC has ...