Carl Ayers
These are instructions for how to conduct a transaction analysis for forensic testing around trading. This comes courtesy of Krista Zipfel, CEO/president of Advisor Solutions ...
An SEC ALJ has directed legal filings for next week after he revealed that the former CCO of Sands Brothers Asset Management ($64M in AUM) ...
An emboldened SEC targeting compliance officers. More and tougher deficiencies on exams. A greater focus on private equity fund advisers’ fees and expenses. OCIE guidance ...
The to-do list at Plan Member Securities Corp. ($3B in AUM) in Carpinteria, Calif., includes beefing up the firm’s cybersecurity protocol. Daniel Murphy, VP/CCO at ...
2015 Regulatory Calendar for RIAs There’s much talk about what will happen this year (see the story on page 1). Below is a list of ...
SEC Chair Mary Jo White has asked Commission staff to conduct an evaluation of the concept of permitting third party audits or compliance reviews of ...
Whatever the Financial Stability Oversight Council’s next move is toward regulating asset managers, it will be aided by comments from the industry, says Karen Barr, ...
It’s permissible for “non-key employees” of family office advisers to engage in “purely administrative duties,” such as preparing and filing taxes for a trust, keeping ...
Misinterpreting the rules of your regulator can be costly. Pershing learned that lesson the hard way after staff misinterpreted certain aspects of the SEC’s customer ...
This one had a little bit of everything—your standard diversion of investor money sprinkled with custody and principal transaction violations. The SEC recently charged VERO ...