Carl Ayers
Compliance’s role with ESG will be in monitoring the analysis and the process. It also could mean keeping an eye on data used and reporting ...
Nearly 90% of B-Ds and 74% of advisers examined in last year’s cybersecurity sweep exam by OCIE reported they had been the target of cyber ...
Dodd-Frank gave PCAOB oversight for audits of SEC-registered B-Ds. So far, it is not looking good for the auditors and their clients. In December, the ...
If your firm hosts a video conferencing system, check your phone bill. That’s the latest lesson learned from hackers. Roosevelt Investment Group ($2.7B in AUM) ...
This Risk Alert provides summary observations from OCIE’s examinations of registered broker-dealers and investment advisers, conducted under the Cybersecurity Examination Initiative, announced April 15, 2014
Dan Haynes, CCO of Buckingham Asset Management ($5.83 billion AUM) in St. Louis, does an inspection of each of the firm’s five branches every year, ...
Firms that remain stingy when it comes to supporting a compliance department should heed the lessons spawned by Ambassador Capital Management. The Detroit-based RIA once ...
A federal jury in Florida Jan. 28th found that Jill Wile, a former FINRA deputy regional director, was not a victim of age and sex ...