Carl Ayers
This example may give you ideas for improving your firm's custody policy and procedure.
New OCIE Director Marc Wyatt is putting his stamp on the IA exam program in a big way. Sources tell IA Watch that reports OCIE ...
The Department of Labor Jan. 28th sent its controversial fiduciary duty final rule to the federal Office of Management and Budget. OMB has 90 days to ...
You knew it wouldn’t take long for the CFTC to cite the Bank of England’s report on cleared swaps (see related story). “Trading on ...
There’s no disputing that how private equity fund advisers handle fees and expenses occupies a top interest among SEC examiners. Consider additional avenues to disclose ...
Only the European Parliament stands in the way of blocking what looks like a sure eventuality: adoption of the EU’s new data protection rule (IA ...
Commodity pool operators must prepare three types of periodic financial statements. 1. Describing their financial condition 2. Detailing any income loss and 3. Reporting changes ...
It took only six months for former U.S. Senator Judd Gregg to determine that the CEO job at SIFMA was not for him but the ...
In the financial services industry, time is often marked by before and after Dodd-Frank. Before the reform law took effect in 2010, swap trading was ...
Turns out 2015 wasn’t a record year for the CFTC after all. Last fall, the Commission boasted of having assessed record fines during the fiscal ...