Carl Ayers
A rash of recent cases demonstrates the risks in tacking on excessive fees in addition to commissions (IA Watch, Aug. 19, 2014). Anthony Blumberg, the ...
This is a copy of the sweep letter OCIE has used as part of its effort to examine advisers that manage so-called alternative mutual funds. ...
The client was sharp enough to warn his adviser that his e-mail had been hacked “and to be on the lookout” for a fraudulent request ...
Consultants performing mock exams are dialed in to the SEC’s most recent document request letters and the regulator’s specific records sought (IA Watch, Aug. 11, ...
After the SEC last year charged Timbervest ($1.1B in AUM) in Atlanta with improperly splitting undisclosed commissions (IA Watch, Sept. 30, 2013), the firm promised ...
Although we reported months ago that SEC examiners would select a handful of alternative mutual fund advisers for its current sweep exam (IA Watch, April ...
The SEC’s first Investor Advocate Rick Fleming urged Congress to pass legislation allowing the agency to charge investment adviser user fees to pay for more ...
Because Dodd-Frank directed the SEC to produce an annual report on Form PF data, you now have insight into how OCIE plumbs the data for ...