Carl Ayers
For the first time, the CFTC has fined a futures commission merchant, its CEO and its former risk officer for not taking seriously the Commission’s ...
Should the CFTC approve, you’ll have to report two financial ratios on future Form PQR and Form PR filings. The National Futures Association has ...
It’s been just more than one year since we told you about the first of its kind insurance policy specifically to protect CCOs from regulatory ...
As the two major presidential candidates prepare to verbally joust in their first debate, OCIE is fulfilling its promise to examine advisers on their compliance ...
Private equity’s lobbying arm scored an important victory earlier this month when the U.S. House of Representatives passed the Investment Advisers Modernization Act of 2016, ...
Private equity firms continue to strengthen disclosure to limited partners about co-investment programs as the SEC maintains its emphasis on transparency, according to a lawyer who works with GPs. ...
Examiners are always on the lookout for private securities transactions. And they’re getting better at pinpointing them (IA Watch, August 18, 2016). There are ...
Since December 2012, when FINRA began requiring firms to file private placement offering documents in its Firm Gateway system, the SRO has received more than ...
FINRA has been beating the drum about liquidity, and it’s getting louder. The SRO has been expanding its review of liquidity management practices this ...