Carl Ayers
Nearly all advisers don’t place a limit on the number of personal trades staff can make annually. The typical holding period – for firms that ...
The books and records rule does require a slew of items to be maintained – and shared with inquiring examiners – from “all written communications” ...
Two years ago we warned against the use of confidentiality agreements that prevent whistleblowers from going to the SEC (IA Watch, May 13, 2013). Last ...
IA Watch has spotted a solicitation by the SEC’s Enforcement Division seeking potential expert witnesses to appear in court cases it brings. Applicants are asked ...
This proposed rule from the SEC in 2015 would revise Exchange Act rule 15b9-1 to replace the gross income allowance with a narrower exemption from ...
This JOBS Act-related final rule from the SEC in 2015 includes rules for eligibility requirements for Regulation A offerings.
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 ...