Carl Ayers
Considering that all RIA CCOs must achieve an annual review each year, it’s worth hearing from a peer to gain ideas for improving your approach. ...
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 ...
Registered broker-dealers would be a key avenue for offering crowdfunding opportunities thanks to the SEC’s new final rule (IA Watch, October 30, 2015). Some ...
All members of the National Futures Association will have to have a written cybersecurity program in place by next March. This after the Commodity Futures ...
Should FinCEN go ahead with its plan to require RIAs to have a risk-based AML program, the industry should get 18 months to comply and ...
The Commission is: (1) conditionally exempting equity options market participants from the self-identification requirements of the Rule if they have not met or exceeded the ...
This is the SEC's final rule implementing the crowdfunding provisions of the JOBS Act. This allows retail investors to participate in crowdfunding opportunities, within limits. ...
Our proposal would modernize the rule and establish a new exemption to facilitate capital formation, including through offerings relying upon recently adopted intrastate crowdfunding provisions ...
In an unusually quick move, SEC commissioners Oct. 30 issued their opinion in a GIPS advertising case involving an investment advisory firm five days after ...