Carl Ayers
Reputational damage, congressional inquiries, lawsuits and clawbacks of bonuses are among the repercussions dripping from Wells Fargo’s embarrassing admission that staff opened thousands of accounts ...
You’ve heard it before: Get your SEC exam off to a rousing start by giving examiners a brief description of your firm. Many compliance officers ...
After selling $19 billion in structured notes over four years, dual-registrant UBS will have to pay $15 million for failing to have P&Ps for training ...
More signs are turning up that OCIE is pressing a controversial custody stance during its exams. IA Watch has obtained an excerpt from an SEC ...
The CFTC has finalized its proposal from this summer to expand the list of interest rate swaps that will have to be cleared through a ...
The Securities and Exchange Commission (‘‘Commission’’ or ‘‘SEC’’) is issuing an order finding that Financial Industry Regulatory Authority (‘‘FINRA’’) rule 2030 (the ‘‘FINRA Pay to ...
The Securities and Exchange Commission (‘‘Commission’’ or ‘‘SEC’’) is issuing an order finding that Municipal Securities Rulemaking Board (‘‘MSRB’’) rule G–37 (the ‘‘MSRB Pay to ...
More major custodians have alerted their adviser clients that they’ve joined forces to try to persuade the SEC not to regard the movement of monies ...
Our recent coverage of the FTC’s notable $11 million fine against an investment adviser for violating the filing requirements under the Hart-Scott-Rodino Act continues to ...