Hugh Kennedy
Peirce and Uyeda question whether firms "have an achievable path to compliance" when it comes to off-channel communications
The full-day program for investment advisers and investment companies is aimed at assisting firms in enhancing their compliance programs
FINRA has observed an increase in cyberattacks and outages at third-party vendors used by brokerage firms
The amendments address minimum pricing increments for the quoting of certain NMS stocks, access fee caps, and the transparency of better priced orders
The SEC charged 12 municipal advisors for failing to maintain and preserve certain electronic communications
The dissemination of ads that included "untrue or unsubstantiated" claims and testimonials, endorsements, or third-party rankings lacking required disclosures were among violations
The latest B-D case touches on customer identification, account opening, and deficient regulatory technology
RCW and industry regulators have a plethora of AML guidance for you
The SEC found that confidentiality agreements contained provisions that impeded clients from reporting potential securities violations to the Commission
FINRA charged the firm failed to establish WSPs reasonably designed to comply with the SRO's fingerprinting requirements