Carl Ayers
Open up any SEC proposed or final rule and you’ll find the actual rule in the back. But the lead up to the formal regulatory ...
After the SEC barred Ray Lucia from the industry for life for misleading slideshows as part of his Buckets of Money® strategy (IA Watch, Sept. ...
At times, the fabric of multiple financial regulators crosses like a quilt. Take the SEC’s Investment Company Act rule 2a-7 (money market funds). It bleeds ...
For some time, the IRS has held that civil penalties and fines assessed by the SEC would not be tax deductible to the entity sanctioned. ...
How top of mind is vendor management to examiners? In the case of the Investment Center, which recently went through a cycle exam, one of ...
The Commodity Futures Trading Commission (“CFTC” or “Commission”) is amending its regulations to revise or repeal certain provisions related to the requirement that a derivatives ...
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing to amend certain provisions of its regulations concerning Chief Compliance Officers (“Proposal”). The regulation that ...
The Commodity Futures Trading Commission (Commission or CFTC) is proposing to amend certain of its regulations applicable to the Annual Report that each person registered ...
The proposed amendments are intended to facilitate the disclosure of information to investors, while simplifying compliance efforts, without significantly altering the total mix of
information provided ...