Carl Ayers
The National Futures Association has reached across the Atlantic yet again to fine a foreign-based CPO/CTA $60,000 for commingling offshore pool funds, sending investors error-ridden ...
This is an Excel spreadsheet log designed for tracking the potential 31 fields of client data that can be requested by OCIE examiners. This can be ...
Clarity on what makes for a level-fee fiduciary. Guidance on what types of compensation arrangements may cross a line. A promise by the Department of ...
With under six months to go before the Labor Department’s fiduciary duty rule becomes applicable (see related story), you now have 34 new FAQs spread ...
Compare the DOL’s BIC Lite with the Full BIC The appearance of the Labor Department’s initial FAQs tied to its fiduciary duty rule (see related ...
The SEC has posted a small entity compliance guide recapping the changes found in this summer’s Form ADV rules change (IA Watch, Sept. 8, 2016). ...
It’s getting to be a habit – the CFTC giving the industry additional time to comply with its rules (IA Watch, Aug. 4, 2016). The ...
The CFTC’s Office of Inspector General has released a report in which it expresses worry that the agency may not fully be protecting the identity ...
This is the first set of potentially three frequently-asked-questions release by the U.S. Department of Labor targeting the agency's fiduciary duty rule. This is designed ...