Carl Ayers
The government alleges Robare & Jones Asset Managers ($150M in AUM) in Houston earned $441,000 in hidden fees over eight years without disclosing or adequately ...
Add a new party in predicting what an advisory firm may pay should Congress permit the SEC to assess user fees to fund more RIA ...
By allowing broker-dealers to offer investment advice without living under a fiduciary duty standard, “the SEC is permitting them to deceive investors about the nature ...
The SEC’s not the only regulator on your radar screen looking at alternative mutual funds (IA Watch, Aug. 28, 2014). FINRA is also looking at ...
FINRA arbitrators have been complaining that they’re underpaid, so it plans make member firms pay more for arbitration services. Arbitrators last raise was in 1999. ...
As a service to clients who travel extensively, an advisory firm is weighing offering to receive checks on their behalf and to deposit them into ...
This final rule from 2014 revises "Regulation AB and other rules governing the offering process, disclosure, and reporting for asset-backed securities" (ABS). It requires prospectuses ...
IA Watch has obtained a copy of the SEC’s alternative mutual fund sweep letter. As we’ve reported (IA Watch, Aug. 25, 2014), it focuses on ...
The biggest mistake advisers make during an SEC exam is not listening carefully to what examiners are asking, according to Michelle Jacko, managing partner of ...