Carl Ayers
An investment adviser registered under this title shall take such steps to safeguard client assets over which such adviser has custody, including, without limitation, verification ...
Nothing in this title shall relieve any person of any obligation or duty, or affect the availability of any right or remedy available to the ...
It can bewilder compliance officers to ensure their firm complies with multiple rules. Extrapolate that challenge ten-fold should the many rules come from more than ...
First, the SEC announced the inaugural whistleblower award to a compliance officer (IA Watch, Sept. 5, 2014). Now, the agency unveiled last week its largest ...
There may be a crying need for more regulatory exams of advisers but OCIE examined about 1,000 IAs in the fiscal year ending this week. ...
Even the SEC recognizes its advertising and marketing rules for advisers aren’t easy. “Advertising and marketing is a really challenging and difficult area,” said ...
Karen Barr, the long-time general counsel of the Investment Adviser Association, will succeed retiring head David Tittsworth, the IAA has announced. Tittsworth revealed earlier this ...
That sweep of investment advisers and broker-dealers announced earlier this year to look at how firm’s deal with cybersecurity has concluded (IA Watch, April 21, ...
Odds are that within three feet of where you are lies your cell phone or other mobile device. These tools have become ubiquitous. It’s tempting ...