Carl Ayers
Some financial services firms have bristled at the prospect of the Financial Stability Oversight Council labelling them a systemically important financial institution. Now a federal ...
IA Watch's latest video features David Lui, a principal at Galliard Capital Management ($84B in AUM) in Minneapolis, talking tips for an internal investigation. Lui recounts ...
The Commodity Futures Trading Commission is amending existing Commission regulations to establish an alternative to fingerprinting to evaluate the fitness of natural persons who are ...
In another move to nourish “the principles of international comity,” the CFTC March 28 approved a final rule permitting foreign commodity sales agents from having ...
If you work at a firm that’s dual- or even tri-registered, you know the hassles of having to report to more than one regulator. A ...
SEC commissioners unanimously agreed: Former Stanford Financial Group CCO Bernerd Young displayed “obvious unfitness for employment in the securities industry” in helping to perpetrate Stanford's ...
Ask people about the importance of the 30-year-old SEC Clover Capital no-action letter and you hear responses that speak to its staying power: “It’s ...
For regulators, few things are as important to investor protection as maintaining the integrity of electronic communications and business records. But firms are ...
Last year, FINRA ratcheted up fines for firms falling short on their Form U4 reporting obligations. It’s not done yet. RBC Capital Markets agreed ...