Hugh Kennedy
The conclusions read like something you would find in an SEC deficiency letter—a program lacking specific goals and measures, documented procedures for certain processes and ...
The hint came at IA Watch’s spring compliance conference: on the horizon the industry could expect a number of conflicts cases to be recommended for ...
The SEC’s first-ever anti-retaliation whistleblower case has now yielded a “maximum” award payment of $600,000 for the head trader at a hedge fund adviser that ...
The SEC has brought its first-ever case charging a firm and its CCO for failing to report a “material compliance matter” to a fund board. ...
The SEC’s stated 2015 examination priorities squarely include examining issues of importance to senior investors (IA Watch, Jan. 19, 2015). Both the Commission and FINRA ...
There is room for improvement for brokerage firms conducting business with senior investors say the SEC and FINRA. The regulators would like to see broker-dealers ...
Citing the complexity of the issue and the critical need to strike the right balance, SEC Chair Mary Jo White told a House subcommittee on ...
Despite current regulatory disclosure requirements, investors are confused about the fees charged by brokerage firms to service and maintain their accounts, according to a new ...
A slew of financial services industry trade associations has banded together to voice their “strong support” for proposed cybersecurity legislation. SIFMA, the Financial Services Roundtable, ...
Lynn Tilton and her New York-based Patriarch Partners firms were hit with SEC fraud charges March 30 tied to concealing the poor performance of loan ...