Hugh Kennedy
FINRA expects broker-dealers to stick with their fair pricing obligations to their customers when conducting transactions in lower-priced or distressed securities. Merrill Lynch has run ...
The SEC is clearly living up to its pledge to focus on direct market access violations (IA Watch, Oct. 16, 2014). For the second time ...
FINRA has sent a strong message that it’s committed to enforcing its research analyst conflict of interest rules. The SRO has fined 10 firms for ...
A former Ameriprise Financial hedge fund portfolio manager has settled an SEC insider trading case, pushing her collective penalties for the illegal activity to close ...
Red flags are to be avoided at all costs when it comes to your firm’s Form ADV since the SEC will unquestionably be scrutinizing this ...
There are a number of “red flags” sure to be caught by SEC examiners when they comb over your Form ADV (see related story). While ...
As a compliance officer, your role must include examining the personal securities trading of your firm’s employees. The SEC’s Office of Inspector General is now ...
As the annual Form ADV amending season draws near, don’t forget that in addition to your clients and potential clients, you will have an equally ...
Private equity is benefitting from greater transparency but should consider further improving their disclosures, says SEC Commissioner Kara Stein. She pointed to the need for ...
The number and dollar amount of whistleblower awards in fiscal year 2014 made the year an “historic” one for the SEC’s Office of the Whistleblower. ...