Carl Ayers
This letter comes from an exam launched by the SEC's San Francisco Regional Office.
Steve Flammey, CFO/CCO at Redwood Investments ($1B in AUM) in Newton, Mass., passes on tips to help you succeed in your next SEC exam. Click the ...
Regulators are constantly beating the drum about the need for documentation, whether to support your investment recommendations or detail how you are keeping up with ...
Tax day may come in April in the U.S. but the industry’s big date next year will be April 10. That’s when the Labor Department’s ...
Add two more signs that the government’s concerned about cybersecurity threats to financial services firms and that it wants you to be, too. Treasury’s FinCEN ...
The Staff is examining registered investment advisers and registered broker-dealers, reviewing, among other things, compliance manuals, codes of ethics, employment agreements, and severance agreements to ...
We are adopting amendments to modernize Rule 147 under the Securities Act of 1933, which provides a safe harbor for compliance with the Section 3(a)(11) ...
In the most extreme case, the SEC’s giving the industry nearly three years to comply with parts of its three new mutual fund rules (IA ...
Now that you’ve been put on notice by OCIE that examiners will scrutinize how you monitor employees with a disciplinary past, it’s smarter than ever ...