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.
Compliance program rule issues perennially found on OCIE's "Top 5" deficiencies list
rading and Markets is concerned about illicit activities involving low-priced securities transactions
The five settled cases are tied to unsuitable sales of volatility-linked exchange-traded products
The importance of ensuring recommendations made to retail clients comply with legal obligations is highlighted
The SRO seeks five key items via its information request letter
Observations from nearly 40 examinations of SEC-registered IAs main offices and branch offices detailed
Nearly 16% of firms with a branch office reported having more than five other offices
There are now nearly 13,500 SEC-registered IAs managing $97.2 trillion in assets
CSM to pay $260K for breaching fiduciary duty, not adequately disclosing conflicts, and failing to seek best execution
The Commission brought 715 enforcement actions and returned more than $600 million to harmed investors
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