Carl Ayers
We are amending our rules in light of the statutory changes made by Title V and Title VI of the Jumpstart Our Business Startups Act ...
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is amending its regulations in connection with the terms for which counterparties must exchange and resolve discrepancies ...
It’s amazing that all these years after the custody rule was toughened by the SEC that no one had raised this issue until now. The ...
Two signs that an organization’s compliance program may be deficient are that the compliance officer is a “senior leader, who on a day-to-day basis has ...
A peer passes on an example of a contract in a solicitation arrangement.
Northpoint Compliance in Point Pleasant, N.J., shares its checklist
A peer gives IA Watch the firm's compliance policies and procedures around the use of solicitors.
Some may flinch at the thought of government asking private entities for the names of staffers who have made political contributions but OCIE’s doing just ...