Hugh Kennedy
Whistleblower awards from the CFTC’s Whistleblower Office have been particularly paltry in relation to the agency’s SEC counterpart. The program took a big step up ...
If you follow professional sports, you’ll recognize some of these names. Late one night, retired professional basketball player Dikembe Motumbo went to use his American ...
FINRA promised and now it has delivered. In its 2016 regulatory and examination priorities letter, the SRO stated that it would review broker-dealers’ role as ...
Like many SEC-registered investment advisers, the Commission itself has no shortage of key information technology initiatives it would like to pursue. Rather, the key is ...
As digital investment advice tools – so called robo-advisors – increasingly play an important role in wealth management, FINRA is cautioning that investor protection should ...
The SEC has brought its first-ever fiduciary duty case against a municipal advisor for failing to disclose a conflict of interest to a municipal client. ...
The SEC has recognized a need for “substantial improvement” in the quality of broker-dealer audits and would like to see the Public Company Accounting Oversight ...
Three American International Group affiliates have been caught up in the SEC’s active probe of conflicts of interest and disclosure surrounding mutual fund share class ...
The SEC certainly hasn’t been shy about emphasizing its focus on the cybersecurity protections being put in place by investment advisers and the need for ...
Look for SEC staff to submit a recommendation to the Commission “soon” to publish the consolidated audit trail (CAT) plan for public comment. Stephen Luparello, ...