Hugh Kennedy
The stakes involved with anti-money laundering compliance keep getting higher with ever-increasing fines and even individual liability for CCOs. Witness the record-setting case last year ...
Boost your firm’s exam prep by getting “ahead of the concerns raised in” FINRA’s 2015 exam priorities letter, which was released Jan. 6. It cautions ...
As predicted, the issue of cybersecurity has once again made an appearance in FINRA’s 2015 regulatory and examinations priority letter (IA Watch, Nov. 25, 2014). ...
Surveillance for all equities and options trading in the U.S. will be done by FINRA. As of this year, the SRO began to provide market ...
The next Compliance Outreach Program National Seminar for broker-dealers’ will be hosted by the SEC in March. Investment advisers, however, will have to wait until ...
Change may be coming to FINRA’s public communications and gifts, gratuities and non-cash compensation rules. The SRO has issued two retrospective rule review reports assessing ...
Early next year, the SEC’s Division of Economic Analysis is expected to deliver its economic analysis of a potential new fiduciary standard for broker-dealers and ...
When it comes to Form ADV drafting tips, the first thing often heard is to check Part 1A and 2A and 2B for disclosure consistency ...
SIFMA continues to hammer away at FINRA’s controversial CARDS proposal (IA Watch, Dec. 4, 2014). This time the ammunition being used to combat the proposal ...
Evolving technological innovation, ever-increasing cyber incidents and the constant need to secure consumer data all have financial services firms’ laser focused on their cybersecurity efforts. ...