Carl Ayers
Recent enforcement actions demonstrate that best execution hasn’t slipped from regulators’ list of inquiring topics. An examination by IA Watch of several best execution ...
A peer shares an example of his firm's "scorecard" for judging which brokers to use under its best execution policy.
All the recent talk about CCOs being worried about being named in an enforcement action has left compliance staffers globally “feeling particularly vulnerable” to being ...
The FY2015 enforcement numbers for the CFTC are in and they – like the SEC’s – boast of record fines. The Commission ordered $3.14 billion ...
The number of cause exams conducted by FINRA is down sharply, reflecting an easing of investor complaints against broker-dealers and reps in the wake of ...
Massachusetts’s top securities regulator created a stir late last month by accusing Fidelity Investments of “dishonest and unethical” behavior for allegedly allowing unregistered investment advisers ...
A peer, Mario Hernandez, CFP®, director of operations Gemmer Asset Management ($568M in AUM) in Walnut Creek, Calif., shares an Excel file that displays his ...
This risk alert, from November 2015, centers on advisers that rely upon outsourced CCOs. It flags behaviors these CCOs should avoid, based on what was ...
If your firm has hired an outsider as its CCO, you should review your business practices to ensure the compliance officer is up to the ...