Hugh Kennedy
Virtually four months to the day from the Municipal Securities Rulemaking Board’s effective date for its new rule on best execution for municipal securities transactions, ...
Hardly a week goes by now without the SEC bringing another enforcement action against a private fund adviser for issues tied to fees and expenses ...
A San Francisco-based private equity fund adviser has been charged with negligent breaches of fiduciary duty for disclosure failures tied to undisclosed loans and cross-over ...
The SEC examined 10% of the registered investment adviser population in fiscal 2015, meeting its goal and equaling the mark set in 2014. While critics ...
The fallout from the F-Squared Investments case from late last year carries on. The then-largest marketer of index products using ETFs filed for Chapter 11 ...
The lack of centralized document retention processes and procedures substantially contributed to a failure by Scottrade Inc. to retain a large number of the firm’s ...
With the last year of President Obama’s tenure fast approaching, the biggest open question for the financial services industry is whether there will be movement ...
The SEC’s bringing first-of-its-kind, cutting edge cases is changing behavior, Chair Mary Jo White told the audience Nov. 10 at SIFMA’s annual conference in Washington, D.C. ...
The questions concerning the CFTC’s Forms CPO-PQR and CTA-PR number in the many. The agency’s Division of Swap Dealer and Intermediary Oversight Nov. 5 published ...
The falsification of invoices in a bid to make it look like a broker-dealer’s net capital figures reported on FOCUS reports were accurate has led ...