Carl Ayers
OCIE has moved to conducting examinations off-site through correspondence, unless it is absolutely necessary to be on-site
The ICI believes that the relief outlined herein is necessary to enhance the liquidity and stability of money market funds during the ongoing and significant ...
Gain tips to help you polish off your new form
Regulatory relief due to the coronavirus, why was a CCO fired after discovering violations by the CEO, help urged for closed-end fund advisers, and ...
Fees, investments, ads and trading dominate this exam
Core Compliance & Legal Services in San Diego permits us to share its P&P for charitable contributions
DB Fitzpatrick “terminated the chief compliance officer at the time of the Contributions and hired a new chief compliance officer
The three allegedly altered and withheld documents after OCIE examiners commenced an exam in 2016
The ICI declares that there “is no legal basis under the Investment Company Act to restrict closed-end funds’ use of certain common takeover defenses limiting ...
The Commission intends to continue to monitor the current situation