Carl Ayers
A summer that’s included several actions against investment advisers that feature wrap fee programs produced two more cases that suggest you should monitor and report ...
It’s been said that examiners from the National Futures Association are generally easier to work with than SEC examiners. That view gains credence with the ...
The CFTC now has memoranda of understanding with its regulatory counterparts north and south of the U.S. border. The Commission has announced its latest MOU, ...
The percentage of salary growth may have topped revenues’, but the latest Form 990 report from the Investment Adviser Association attests to vigorous growth under ...
You can never have too much help getting ready for an exam. Here are some key do’s and don’ts from a top FINRA examiner and ...
This is a copy of a 2016 exam letter sent to an adviser from the SEC's Philadelphia Regional Office.
The SEC has taken a major step toward improving the depth of information it collects on investment advisers by adopting August 25 a slew of ...
The SEC admits in its new final rule amending Form ADV that it’s revising the 55-year-old Advisers Act’s books and records rule because of lessons ...
When SEC examiners announced two years ago that they were coming in, PE fund adviser WL Ross & Co. ($4.5B in AUM) reviewed its approach ...