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.
FINRA wants communication on BCPs to be a two-way street
Municipal advisors will now have an additional 45 days to file Form MA updates
SRO has reported seeing successful "social engineering" attacks
The Form ADV FAQ addresses temporary teleworking
IT professionals across the financial services industry are taxed to the max
The SEC alleges material misstatements were made to hedge fund investors
Lapse in forming an Investor Advisory Committee an issue
Looking to identify IAs who outsource voting decisions
Contact the Commission with guidance or relief requests
SEC remains 'fully operational'
Strings attached if you wish to delay filing Forms ADV and PF
Sweep is the first announced by the SRO in 2020
For the fourth straight year, AML tops the list
Failed to adequately disclose how their clients' investments were tied to the Aequitas enterprise
Documents supporting RAUM figure found to be misleading
Eight new FAQs cover six core areas
Adjusting or building upon current systems of supervision/compliance an option
Look for the regulations to be enforced after Sept. 1
Two years after proposal, FINRA appears no closer to finalizing OBA rules
There is current uncertainty about how the securities laws apply to tokens
If you do not receive this within five minutes, please try and sign in again. If the problem persists, please email: