Carl Ayers
One strategy to defeat similar fraudsters is to send this correspondence to all clients
This final rule from Treasury requires U.S. persons to provide notification to Treasury regarding certain transactions involving persons of a country of concern that are ...
"I’ve been proud to serve with my colleagues at the SEC who, day in and day out, work to protect American families on the highways ...
Know the 4 pillars upon which the SEC exam division stands, don't rush into new business and leave compliance behind, tips for your annual review ...
“One of the ways that we’re prepping is anyone we think who is an individual that we think might have to report” as a beneficial ...
It can be tempting to use endorsements given that the SEC’s new IA advertising rule now permits them. But be sure to navigate carefully the ...
A substantial portion of the investment strategies that Invesco counted as ESG integrated could not consider ESG factors in making investment decisions because they were ...
The SEC adopts amendments to correct certain errors in various rules and forms, including those under the Advisers Act.
"We consider a firm’s efforts to comply with its recordkeeping obligations and to prevent off-channel communications, focusing, for example, on timely adoption of meaningful technological ...
The amendments are intended to clarify, simplify and enhance the utility of those regulations for registered entities, market participants and the Commission