Hugh Kennedy
For small advisers constrained by tight budgets one alternative is contracting for an outsourced CCO. While such an arrangement can ultimately lead to a successful ...
It’s right there in black and white in FINRA’s 2015 regulatory and examinations priorities letter as one of five key challenge areas for broker-dealers: supervision, ...
SEC Chair Mary Jo White is now prepared to discuss “in depth” her thinking with the full Commission on a uniform fiduciary standard for investment ...
A lot has changed in the markets in the last 32 years. With a nod to the fact that cross-market proprietary trading firms now account ...
In a bid to require the SEC to implement a more rigorous, fair and public process for the granting of disqualification waivers, Rep. Maxine Waters ...
With the month’s end in sight, the clear majority of advisers are putting the final touches on their amended Form ADV. One of those final ...
The clamor over whether the SEC routinely grants waivers from regulatory disqualifications without rigorous analysis has only grown of late and has even come from ...
Make sure you monitor wage garnishment orders that come in concerning your employees to determine if they rise to the level of reportable events on ...
A SIFMA commissioned study released March 16 challenges figures in the White House’s report on the Department of Labor’s proposed retirement regulation and questions the ...
Back in December, SEC Chair Mary Jo White announced a plan to “enhance and strengthen” the Commission’s regulatory programs in response to the ever-changing asset ...