Carl Ayers
This is a copy of an SEC document request letter sent to an advisory firm in 2014.
Click here to open a Word file that is an example of policies and procedures for the SEC's whistleblower rule. These come with permission of ...
An easy out for many compliance staff given the duty to train firm employees on gifts and entertainment rules is to adopt the lowest regulatory ...
It’s been about one year since the SEC granted the first exemptive order to an adviser that had inadvertently violated the pay-to-play rule (IA Watch, ...
You’ve no doubt struggled with the SEC’s complex custody rule but nothing like Sands Brothers Asset Management ($64M in AUM) in New York. Its troubles ...
Only a few months after the SEC charged an investment adviser with falsely claiming compliance with the Global Investment Performance Standards (IA Watch, June 2, ...
It’s not often the SEC takes a requirement off the board. This week’s announcement that the agency’s virtually eliminating the Investment Company Act exemption related ...
Click here to open a PDF from the NSCP with directions for how to Bates stamp PDF documents. This is shared with permission of the ...