Carl Ayers
IA Watch has learned that sources close to efforts to persuade the SEC’s Division of Investment Management to clarify if the ability for an adviser ...
Stating that it’s answering questions it has long received, the SEC’s Division of Investment Management has released new guidance geared to helping advisers understand when ...
We took the occasion of IA Watch’s Nov. 18th Financial Services Change conference in Washington, D.C. to survey attendees on what a Trump presidency means ...
The 68 enforcement cases the CFTC announced in FY 2016 comes in a shade behind the 69 achieved the previous year, but the agency’s $1.29 ...
When it comes to protecting senior investors, the biggest firms have luxuries smaller firms cannot afford: a compliance department with a specialist or two strictly ...
Four international financial standards are now available for commodity pool operators that are run from outside the U.S. The CFTC has approved a final rule ...
You’ve got a lot to worry about when it comes to staying alert to potential exploitation of your senior clients. Don’t overlook filing a Suspicious ...
Through this guidance, the staff seeks to address the following instances in which an investment adviser may be able to rely on special registration provisions ...
The Commodity Futures Trading Commission (Commission or CFTC) is amending certain of its regulations applicable to the financial reports that each person registered or required ...