Carl Ayers
Investment company advisers would have to indicate if their CCOs are compensated or employed by anyone other than their fund, according to the SEC’s new ...
The SEC approved a long-debated pilot program to see whether an increase in tick size for the stocks of smaller and emerging companies will enhance ...
It’s no secret that high-frequency trading has been in the crosshairs of SEC (IA Watch, Oct. 22, 2014). A proposed rule would require as many ...
In a move to “modernize” the industry data the SEC receives from investment advisers and investment companies, the Commission May 20th unanimously approved two new ...
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 ...