Carl Ayers
Many of the issues discussed in this guidance were brought into focus by a recent sweep examination of a number of mutual fund complexes, investment ...
This December 2015 letter comes from a "phone" exam. It contains a long list of items, including for a list of mutual funds with share ...
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing to amend existing Commission regulations to establish an alternative to fingerprinting to evaluate the fitness ...
The Securities and Exchange Commission (‘‘Commission’’) is making a technical correction to its rules concerning Regulation Systems Compliance and Integrity (‘‘Regulation
SCI’’) under the Securities Exchange ...
Some prognosticate that 2016 will be lighter than usual when it comes to new regulations, as Congress and the Administration hunker down prior to the ...
As you might expect cybersecurity occupies a top spot on the priority list for many of your compliance peers in 2016. Dividend Assets Capital ...
2016 Regulatory Calendar for RIAs Predictions abound for the year ahead. While many expect develop-ments – such as a final fiduciary duty rule from the ...
With its proposed rule to heighten disclosures from alternative trading system operators (IA Watch, Nov. 19, 2015), the SEC wants to bring dark pools into ...
FINRA took the first steps towards overhauling its troubled arbitration system with the release of a task force report urging a big pay hike and ...
The Commodity Futures Trading Commission (the ‘‘Commission’’ or ‘‘CFTC’’) is amending Commission Regulation 1.35(a) to: Provide that all records required to be
maintained under this regulation ...