Carl Ayers
Call it IA vs. IA. A decision this month by a federal appeals court could open the door to more lawsuits against investment advisers when ...
Many eyes are watching to see how the SEC vs. The Robare Group ($150M in AUM) case plays out. Allegations of inadequate disclosures around conflicts ...
It didn’t seem to make a lot of sense to force 16th Amendment Advisors ($140M in AUM) in New York to pay for a surprise ...
There was little mystery that SIFMA and the Investment Adviser Association would tell FSOC to leave the regulation of asset managers to the SEC (IA ...
This is a copy of an SEC document request letter received by an investment adviser within the Chicago regional office of the SEC. This letter, ...
This SEC document request letter comes from a peer. It was a 2015 exam of an investment adviser that is heavy into fixed-income securities.
Emily Gordy spent 27 years as a financial regulator, most recently as FINRA’s senior vice president of enforcement before joining Shulman Rogers Gandal in Potomac, ...
It goes back some time, SEC examiners’ interest in GIPS at those firms that claim compliance with those standards (IA Watch, Nov. 22, 2010). The ...
Saying “it’s beyond time to act” on the lack of exams for IAs, SEC Chair Mary Jo White last week said permitting “a program of ...