Carl Ayers
Recognizing that most broker-dealers wouldn’t be able to afford to carry insurance against arbitration or court judgments, FINRA has decided against mandating that they do. ...
The inquiry from the SEC came in on Friday, Oct. 13, 2000. It would lead to alleged insider trading charges uniquely applied to mutual fund ...
Many advisers continue to generate deficiencies on SEC exams because they incorrectly determine that they don’t have custody, said Renee Esfandiary, assistant director of the ...
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: ...