Carl Ayers
The increased use of central counterparties (CCPs) as regulators the world over have ordered mandatory clearing of swaps and other products now turns attention to ...
It wouldn’t affect a large number of CPOs, but the CFTC has proposed that certain pool operators be able to skip their initial annual audit ...
A new SEC settlement suggests the prudence of compliance monitoring withdrawals when a rep serves as trustee over a client’s account. Rep Gary Oliver ...
Without action from the CFTC, the threshold for swap dealer registration will fall from the current $8 billion level to $3 billion in 2017. A ...
This brochure includes detailed language on step-out or trading away trades from a wrap fee sponsor following an SEC enforcement action.
A peer shares a copy of the firm's exam letter stemming from a 2016 visit by NFA examiners.
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 ...