Carl Ayers
In this international world of finance, it’s not uncommon for states-side advisers to manage wealth held by clients on the other side of the Atlantic. ...
Besides being the first day of summer, last Tuesday also marked the day certain interest rate derivatives were to be cleared under the European Market ...
This release makes technical corrections to rules that were published in the Federal Register on September 24, 2014 (79 FR 57184). The Commission adopted revisions ...
This is a second cybersecurity sweep letter that OCIE sent out in 2016. It reveals that this is likely the national letter being used in ...
Your compliance program may be judged by SEC officials when they simply stop by and inquire about things. One outgrowth of the Great Recession ...
Documenting when an employee leaves and that you’ve turned off their access to your network makes too much sense in this world shaken so often ...
Dodd-Frank split the baby when it came to regulators overseeing swaps. The SEC would supervise security-based swaps (SBS) and the CFTC all others. That decision ...
Evidence abounds that cyber-attacks are not just a problem for the industry giants. Witness FINRA’s new checklist to help small firms jumpstart their cybersecurity programs ...
FINRA is increasingly targeting branch-office inspections. The topic ranked fourth in a discussion of “Top Regulatory Concerns” at the SRO’s recent annual conference in Washington, ...