Hugh Kennedy
The SEC’s “Phase Two” of cybersecurity examinations has long been promised and a new OCIE risk alert released Sept. 15 signals that the time is ...
You could see this one coming. Back in its 2014 Regulatory and Examination Priorities Letter, FINRA signaled that it would be expanding its “high-risk broker ...
The first of the penalties from the $100 million international insider trader scheme involving hacked newswire services has now been imposed on a Ukrainian-based trader ...
Ever since the 2008 financial crisis FINRA has made understanding how broker-dealers plan for and manage liquidity risk a priority. After a year-long review of ...
Confidentiality agreements that attempt to silence potential SEC whistleblowers may violate rule 21F-17 which prevents firms from impeding communications with the commission about securities law ...
This summer, Wells Fargo, Raymond James, and LPL Financial were ordered by FINRA (IA Watch, July 7, 2015) to pay more than $30 million in ...
The global financial crisis certainly caused many players in the real estate market to undertake varied strategies to ride out things until the market stabilized. ...
An SEC examination of 10 broker-dealer branch offices that distribute structured securities products shows B-Ds have work to do when it comes to the implementation ...
The Financial Services Institute believes the true cost to the independent financial services industry and investors of the Department of Labor’s proposed fiduciary rule is ...
A new sweep directed at broker-dealers by FINRA continues the SRO’s assessment of how firms identify, mitigate and manage conflicts. The sweep focuses especially on ...