Carl Ayers
Speculation about the coming changes for the financial services industry under a Trump administration runs rampant. Since Dodd-Frank was enacted six years ago, the massive ...
Odds are you have only months before the SEC will mandate that you must have a written transition plan. Many advisers lack them. Listen to ...
Even as the 60-day window ticks down on The Robare Group’s opportunity to appeal the SEC’s adverse ruling in its disclosure case (IA Watch, Nov. ...
IA Watch has obtained correspondence that Schwab has sent to its advisers, announcing a new policy that will begin next year to deactivate standing letters ...
When the federal fiscal year ended Sept. 30, OCIE had achieved its highest number of annual exams in seven years. Its IA/IC exams topped 1,600 ...
A power of attorney, done well, can be a powerful instrument to protect the interests of a senior investor. In the wrong hands, however, it ...
Even as CFTC staff promise tougher stress tests to come, they’ve issued a new report giving passing grades to five derivatives clearinghouses in the U.S. ...
Your peers had scores of questions for regulators and experts at the recent SIFMA/FINRA senior investor protection conference. Here are some highlights of the tips ...
Nancy Lininger, a consultant with The Consortium in Camarillo, Calif., has given us permission to share with you her template for a memo to your ...