RCW Staff
Succinct, clear and concise, and Plain-English aren’t usually the buzz words affixed to SEC disclosures but those are among the goals for the Form CRS ...
The SEC’s approval by a 3-1 vote of the issuance of an interpretation of the “solely incidental” prong of the broker-dealer exclusion under the Advisers ...
During my time of service, it has been a priority to transform the CFTC into a 21st Century regulator for today’s digital markets. With ...
Nevertheless, London remains unique as a global financial center. It is the essential processing point for global wholesale markets for foreign exchange, interest rate ...
For most of the Relevant Period, the RMC consisted of Deer Park’s Chief Compliance Officer, who was a former geochemist and
brother-in-law of Portfolio Manager ...
But I am troubled by the substantial amount of losses that we may not be able to recover for retail investors as a result of ...
We at the CFTC believe in the power of markets to be the best determinate of the value of technology-driven innovation.
From January 2013 to February 2015, Palermo benefited from a manipulative trading scheme carried out by his long-time friend, a day trader (“Trader A”), that ...
Financial regulators are actively encouraging investment advisers and broker-dealers to train their employees on how best to detect and report suspected senior financial exploitation. On ...
Surprises are certainly the enemy of compliance. Given that staff interviews are a growing staple of most SEC exams, conducting mock interviews with key personnel ...