Carl Ayers
The SEC’s rules regarding advertising and marketing were developed long before the internet could have ever been imagined but that doesn’t mean your firm’s website ...
The number of RIAs that participate in wrap fee programs is increasing. More firms are receiving compensation for client referrals. Nearly all investment advisory firms ...
A new no-action letter from the CFTC grants blanket relief from registration to CPOs that delegate their investment management authority to another CPO that is ...
Your responsibilities to “know your customer” (KYC) is capsulized in several FINRA rules (IA Watch, July 8, 2013). The most recent one being rule 2090, ...
Even with the best precautions, it’s possible a cyber bad guy could infiltrate your network. Should you find evidence of an intrusion, consider these steps: ...
The insider trading case that led to Wells Fargo Advisors ($334B in AUM) in St. Louis last month paying a $5 million fine to the ...
This no-action relief from the CFTC in 2014 explains how a delegating CPO can escape the registration requirements in Section 4m(1) of the Commodity Exchange ...
Nearly all investment advisory firms now host their own website. The number of RIAs that participate in wrap fee programs is increasing. More firms are ...
This no-action letter from the SEC's Division of Investment Management hails from 1998. It tackles the use of ratings from Dalbar surveys and whether the ...