Carl Ayers
Broker-dealers may be about to get another reprieve from having to track and report information about large traders. Industry groups are pushing the SEC to ...
The CFTC is proposing to amend the trade option exemption in its regulations, as described herein, in the following subject areas: Reporting requirements for trade ...
In April 2015, the Department of Justice put out these best practices for victims of cyber-attacks to consider following.
You’ll be able to choose from several regional compliance meetings – the old CCOutreach formats – scheduled from June through September this year. OCIE and ...
A new guidance update from the SEC released April 28 encourages steps investment and fund advisers can take to improve their ability to repel cyber ...
A clear violation occurs if an adviser were to engage in a principal trade without obtaining the consent of the client. Advisers Act section 206 ...
In an action that accepts the reality of the international derivatives market, SEC Commissioners Wednesday unanimously approved a new proposal relating to when a non-U.S. ...
Last year, we told you that OCIE had contracted with a Tennessee company, Capital Confirmation, to do electronic verification of accounts for custody inquiries during ...
You don’t want to mess with FINRA when it comes to rule 8210 (provision of information and testimony and inspection and copying of books ) ...