Carl Ayers
Swap dealers must file daily large trader reports with the CFTC. Not doing so can be costly. JP Morgan Ventures Energy Corp. and JP ...
The long arm of the law can reach back through time. Violations that occurred during the height of the financial crisis resulted in a CFTC ...
A new report from the SEC’s Inspector General reveals that OCIE expects to receive a consultant’s report by September on ideas for bulking up its ...
As the SEC’s Division of Investment Management prepares a recommendation for the Commission to formally revise two advisers act rules in response to the Fast ...
The FAST Act revised the venture capital fund adviser exemption by deeming SBICs to be venture capital funds for purposes of the exemption. Because an ...
It can be challenging when you report to multiple regulators to keep their gifts and entertainment thresholds straight. The Department of Labor’s $250 annual threshold ...
Two months ago, the SEC fined the advisory firm Equinox Fund Management in Denver for misleading investors about fees and valuation (IA Watch, Jan. 21, ...
Aaron Schlaphoff, who recently joined Kirkland & Ellis as a partner after working at the SEC, in an interview with IA Watch’s sister publication Buyouts, flagged compliance issues for ...
The CFTC has finalized its trade option rule that should be in place by April 1, negating the need for certain parties to file Form ...
It was a long time coming but the CFTC March 16 finally issued a formal notice instituting a substituted compliance program for EU-based derivatives clearing ...