Hugh Kennedy
Amid concerns about a lack of consultation among the Department of Labor and the SEC on the DOL’s reproposed fiduciary rulemaking, two Republican lawmakers are ...
It’s an often stated maxim delivered at industry conferences: you don’t want your firm’s compliance issues to appear on page one of the Wall Street ...
It’s right there in black and white in current SEC exam document request letters. Before arriving on-site at an advisory firm, Commission examiners are seeking ...
Training is a critical component of any cybersecurity program. FINRA drives this home in its new Report on Cybersecurity Practices. Regulators are backing up this ...
When your regulator has embraced a risk-based approach to prioritizing exams, it’s always helpful to know what factors are actively being considered. In a speech ...
“Prime bank” scams have been around for some time and have cost victims billions of dollars worldwide. The schemes have garnered significant attention from regulators ...
FINRA is already making good on its promise that examiners will review broker-dealers’ approaches to cybersecurity risk management. The SROs 2015 exam priorities letter notes ...
That didn’t take long. The House Committee on Financial Services has criticized President Obama’s FY2016 budget and homed in on the SEC’s 15% requested increase ...
Many small B-Ds will have to strengthen checks of registration applicants under an SEC-approved FINRA rule that goes into effect July 1. And though the rule only ...
A top priority of the SEC’s fiscal year 2016 budget is the hiring of an additional 225 examiners, primarily to conduct inspections of investment advisers. ...