Carl Ayers
This comes courtesy of Ben Anderson, principal with Anderson PLC in Minneapolis.
Below is a summary of several of the annual compliance obligations imposed on ...
This guide, published by the NFA in 2016, describes what's required of registrants, including commodity pool operators, commodity trading advisors and futures commission merchants. It ...
It’s been one year since we told you the story of Thomas Haider, the former CCO at MoneyGram, who was assessed a $1 million fine ...
It could seem that an SEC enforcement action against a business development company is as rare as a winter sun in Alaska. But recently the ...
The latest Form ADV from DDJ Capital Management ($8B in AUM) in Waltham, Mass., discloses the adviser’s newest policy. Last year, it adopted a remuneration ...
If a money market fund includes the word “government” in its name, the fund should have a policy that it will invest “at least 80% ...
After years of urging firms to develop a culture of compliance, FINRA is moving the issue front-and-center in its 2016 exam priorities (IA Watch, Jan. ...
Get ready for new restrictions on political contributions – and the possibility they could be implemented by the November election. At long last, FINRA is ...