Hugh Kennedy
Hugh has 35 years of expertise in the financial services industry, with publishing and legal research experience spanning the public company, investment adviser, broker-dealer, credit union and banking industries. As a senior-level manager, award-winning writer and conference speaker, he has covered key issues stemming from the Securities and Exchange Commission, Commodity Futures Trading Commission, Department of Labor, Public Company Accounting Oversight Board, NCUA, banking agencies, Capitol Hill, NASAA and other regulators. He has developed and created a number of new publications, online databases and value-added portals serving the needs of financial industry professionals.
Commissioner looking forward to "a road that is likely to be rich with regulatory change"
Fraud committed against firms and their clients "at a much larger scale than ever before"
The SRO is seeing customer agreements containing provisions that run counter to its rules
'Deeper reviews' of Reg BI and Form CRS, examinations of CAT compliance coming
Two SEC commissioners had argued relief presented "an unacceptable risk to investors"
FINRA has been coordinating with the SEC to make sure exam efforts are not being duplicated
SRO has received good feedback, both internally and externally, on exams restructuring
he remote working environment has caused new cyber concerns to emerge
SRO is urging firms to evaluate and, as appropriate, mitigate the financial risks of ACH abuse
Exam findings offer an opportunity for firms to review and enhance their AML programs
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