Carl Ayers
It’s all about data these days. The National Futures Association often will send a registrant an Excel spreadsheet complete with fields to be filled ...
Because Barclays Bank self-reported and cooperated with the CFTC over filing inaccurate large trader reports for nearly one year, its settlement resulting in a $560,000 ...
A peer passes on the firm's NFA exam letter.
On the eve of the U.S.’s 4th of July, Britain’s independence day has staggered world markets like a stiff right cross. Speculation abounds about the ...
We’re left to wonder why WFG Advisors ($1.4B in AUM) in Dallas would pay a compliance consultant to come in twice, be warned that the ...
In an ideal world, compliance and accounting would be linked when it comes to paying solicitors like July and fireworks are intertwined. But perfection ...
Two months after a federal judge castigated the Financial Stability Oversight Council’s process for determining systemically important financial institutions – calling it “fatally flawed” (IA ...
Where are small firms most apt to get into trouble at exam time? What are the most effective practices for heading it off? Here are ...
Regulators are raising the bar on AML compliance. Take Raymond James & Associates. Together with an affiliate, it was fined $17 million and saw a ...