Carl Ayers
This July 2015 correction revises the Form ADV example published in an earlier Federal Register. This version shows what the form would look like should ...
Call it wire hacker fraud. It is not the most sophisticated cyber-scam. But too often it works. The nub of the racket: a client’s e-mail ...
Last week, the CFTC unanimously approved a new proposed rule designed to prevent U.S. swaps dealers from escaping its margin requirements by conducting business overseas. ...
Do your reps’ lifestyles match their production? Has a sales assistant suddenly bought a luxury condo at the beach? Are high-performance sports cars showing up ...
Take some tips and insights on current exam hot topics heard at FINRA’s recent Washington, D.C., conference: Complex Products New product vetting “is a piece ...
This CFTC proposed rule from 2015 would apply margin requirements to cross-border transactions, as a well to close a loop-hole regarding international swaps.
Only five SEC enforcement actions in the last 11 years have cited CCOs for violations of the compliance rule, according to SEC Commissioner Luis Aguilar. ...
Mark July 31 as the official start of the pay-to-play rule’s long delayed ban on third-party solicitation. However, the compliance date loses significance for firms ...
This release from June 2015 recommends compliance staff dig deeper when determining that an access person's trading doesn't need review because it qualifies for an ...