Carl Ayers
Attorneys general from seven states and Washington, DC claim the Commission bypassed congressional intent in approving Reg Best Interest.
The agency's new report provides 'hallmarks' of effective compliance programs detected by the agency over the years.
'I think it’s going to be a big year for advisor regulations.'
Nearly 50 rules are being considered by the Securities and Exchange Commission.
The proposal would keep the current financial tests for establishing who is an accredited investor but would add new categories.
The SEC doesn’t require that firms encrypt sensitive documents.
Legal expenses can be expansive and opaque. Regulatory Compliance Watch’s Carl Ayers looks at what a GP can do to keep legal bills under control.
One reading of the GDPR argues firms cannot share information with the US regulator.
One reading of the GDPR argues firms cannot share information with the US regulator.
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