Hugh Kennedy
A February study that generated a great deal of industry buzz for revealing high rates of misconduct among financial advisers under FINRA’s supervision continues to ...
Professional athletes, with their astronomical salaries, high-dollar endorsement deals and often free spending ways, have historically been favored marks for fraudulent schemes. For the second ...
Materially inaccurate information in nearly three quarters of the variable annuity replacement applications approved by a MetLife broker-dealer subsidiary over a six-year period has yielded ...
A recently released study from the International Organization of Securities Commissions characterizes cyber risk as a “unique, highly complex and rapidly evolving phenomenon” that requires ...
It seems everyone has someone looking over his shoulder these days making sure information security and cybersecurity programs are locked down – including the SEC. ...
The cybersecurity insurance market continues to develop at a slow, but steady pace. A recent IOSCO report notes that 40% of asset management firms responding to ...
The CAT is finally out of the bag. Nearly four years in the making, the SEC voted April 27 to publish for public comment a ...
The number of SEC examinations resulting in a referral to the Division of Enforcement has remained fairly constant over the past five years—falling in the ...
Speaking to a packed audience of compliance professionals at SEC headquarters April 19, Commission Chair Mary Jo White acknowledged the “critical role” that compliance plays ...
The SEC will remain focused on never-before-examined investment advisers and investment companies and hopes to ratchet up the number of exams it conducts with a ...