Carl Ayers
An official of a sovereign wealth fund flies into town to check out your firm. If you treat the visitor to a nice dinner, must ...
The punishment for a CCO that failed to adequately disclose a conflict of interest that generated $1 million in commissions includes a 12-month industry bar. ...
If you supervise branch offices and want to be certain you’re doing it right, act like a FINRA examiner. The SRO’s interest in branch office ...
A new proposed rule from the CFTC would wipe away the requirement that commodity trading advisors (CTAs) save recordings of swap transactions (IA Watch, Nov. ...
The difficulty of getting a handle on new rules for trading derivatives intensifies when two regulators don’t agree. Take the segregation of margin for ...
The percentage of investment advisers examined by the SEC in the 2014 fiscal year that ended in September hit 10% of the RIA population for ...
Neither side is talking for the record but newly-filed court documents describe a deteriorating office environment that ultimately led to the firing of a FINRA ...
Given technology’s role in the securities industry and troubling IT events, such as the flash crash, SEC commissioners voted Nov. 19th to adopt Regulation SCI. ...
We told you it was coming and last week the SEC issued an exemptive relief order for Ares Real Estate Management Holdings ($4.9B in AUM) ...
A new proposed rule from the CFTC would wipe away the requirement that commodity trading advisors (CTAs) save recordings of swap transactions (IA Watch, Nov. ...