Carl Ayers
This final rule from the SEC in 2015 establishes the new security-based swap data repository registration process called for by Dodd-Frank reforms.
This proposed SEC rule from 2015 would amend Regulation SBSR, the security-swap reporting rule, in several ways. For instance, it includes an exemption process from
registration ...
Just as OCIE did last year before launching its cybersecurity initiative that visited some 100 firms (IA Watch, April 21, 2014), look for the agency ...
Few transactions offer less transparency and price comparisons than derivatives. There aren’t clear best execution obligations for these instruments. However, if your firm trades in ...
Suffering a multimillion-dollar penalty for non-compliant advertising served as incentive enough for F-Squared Capital ($3.9B in AUM) in Wellesley, Mass., to tighten its compliance procedures ...
It’s well established that examiners will likely question adviser accounts with little trade activity that were moved from 401(k) plans (IA Watch, March 5, 2015). ...
This is part of a document request letter received by an adviser within the Chicago region.
This is a copy of a SEC document request letter received for an exam of an investment company adviser.
While FINRA’s long been interested in supervision of branch offices (IA Watch, Dec. 12, 2011), there are signs OCIE’s taking a deeper interest in this ...