Carl Ayers
June 30 is the deadline for filing an FBAR report if you hold financial interests overseas (IA Watch, Jan. 8, 2015). A new proposal from ...
In a case that could have had broad ramifications if it turned out the other way, a former CCO has lost his bid to have ...
You have to go back to 2014 to find the full complement of five commissioners at the CFTC. It will now be up to the ...
At IA Watch’s IA Compliance: The Full 360 Degree conference last month, both the advertising and marketing and SEC exams panels heard the same question: ...
As industry predictions contend that we’ll see a final Department of Labor fiduciary duty rule before the month is out, opponents of the rule point ...
A new SEC settlement fines an adviser $100,000 for overcharging some 25 clients an average of $250 per quarter due to faulty AUM calculations. What ...
As it ushered in its new cybersecurity rule last week, the National Futures Association eased compliance with it by updating its self-exam questionnaire with cybersecurity ...
Internal audit is back on the list of FINRA exam priorities this year with a focus on organization and governance. But what if you are ...
For years, individuals owning foreign assets greater than $50,000 have had to file Form 8938 (statement of specified foreign financial assets) with their annual tax ...