Carl Ayers
Last week, the CFTC outlined seven conditions when a forward contract could be excluded from its swap and future delivery definitions. The change will be ...
There aren't many details at this time but the SEC has announced a meeting next Wednesday to take up two rule proposals that would affect ...
Large settlements may get most of the attention. But they hardly do justice to the breadth of AML enforcement actions taking place. After last ...
This is the CFTC's clarification of its interpretation concerning forward contracts with embedded volumetric optionality, released by the SEC and other regulators, too.
For broker-dealers, the “best interest contract exemption” to the Department of Labor’s fiduciary proposal (IA Watch, April 14, 2015) is good news and bad news. ...
Mark Tuesday July 14th on your calendar if you’re a compliance officer at a broker-dealer. That’s the day the SEC and FINRA will partner ...
It’s no secret that the SEC has long trained its regulatory glare upon transaction-based compensation and entities that aren’t registered broker-dealers (IA Watch, May 26, ...
Regulator interest in how private equity fund advisers assess and disclose fees and expenses has been as transparent as a stadium scoreboard. Irony exists in ...
It was 1929, a watershed year for the financial services industry, when Adams Diversified Equity Fund Inc. opened its doors as an internally managed closed-end ...