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 seeks firms' P&Ps, compliance memoranda, and other internal guidance concerning SPAC-related activities
Grewal calls out need for "more than putting together a stock policy and giving a check-the-box training"
Effort is part of a broader look at exchange-traded products and potential risks
CEO and chief portfolio manager charged for their roles in artificially NAV and performance results
New rule allows FINRA to impose new obligations on B-Ds with significantly higher levels of risk-related disclosures
Form N-PX amendments and exec comp disclosures are addressed in the proposals
First-ever cases enforcing MSRB rule G-42 on the duties of non-solicitor municipal advisors brought
The Oct. 7 program will offer a greater understanding of complying with municipal advisor duties
Three-month extension granted to come into compliance with rule 15c2-11 amendments
RBC Capital Markets case is the third flipping enforcement action this quarter
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