Carl Ayers
Click here to open a Word file that is an example of a document request letter the National Futures Association (NFA) sends to commodity pool operators (CPOs) ...
This is a proposed rule from the CFTC in 2014 that would eliminate the need for commodity trading advisors (CTAs) to record swaps conversations (IA ...
OCIE examiners have worn their traveling shoes of late, visiting a variety of firms and conducting a mix of quick-hit inquiries and lengthy visits. Reports ...
It’s not likely that sensitive data you share with the SEC could get out to the public, but a best practice would be to follow ...
The recent incident at a small advisory firm served as a wakeup call for the need to guard against cyber bad guys. A relatively new ...
IA Watch has obtained several recent SEC document request letters (see related story). They vary. Most are for never-been-examined firms and included on-site visits. One ...
This is an SEC document request letter sent to an advisory firm in 2014 from the SEC's Atlanta Regional Office.
This SEC document request letter from 2014 includes language for the adviser to share a robust trade blotter.