Carl Ayers
This May 2015 proposal from the SEC would amend Form ADV reporting, especially around separately managed accounts.
This May 2015 proposal would allow disclosures on the web as well as other modernizations to the Investment Company Act.
It’s nice when you have something to compare an experience with, such as an SEC exam. Three compliance officers who’ve been through multiple exams separately ...
A best practice talked about often these days is to ship a cybersecurity questionnaire to your vendors. Some of your counterparties may even be sending ...
A new survey finds that more than one in three industry professionals who earn half a million dollars or more annually have witnessed or have ...
One year after his predecessor talked about compliance for private equity fund advisers (IA Watch, May 12, 2015), OCIE’s Acting Director Marc Wyatt added his ...
IA Watch has learned that some Internet-only advisers, including “robo” advisers using computer-based programs, are receiving OCIE exam letters. A separate sweep also appears underway looking ...
As dynamic as the financial services industry can be, all of that flux doesn’t seem to generate material changes in the Form ADV brochures of ...
The road ahead for the Department of Labor’s recent fiduciary duty proposal has many more miles to go but the proposal’s possible impacts are becoming ...