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.
Questions would like to hear from the industry on detailed
The rule amendments initially advanced in 2016 have been a long time coming
The CAT is full-steam ahead for implementation in 2022
Enforcement stepping up interest in churning
$60 million awarded in FY 2019
Look for new rules in fiscal year 2020
The 2020 will cover a broad array of topics
SIFMA plans to produce a public "after-action" report
Two SEC commissioners have expressed their concerns about non-transparent ETFs
Peirce suggested being wary of simply counting cases and tallying penalties
Rulemaking recommendation on new disclosure framework for variable products coming
Failures tied to share class selection calculator trip up dual registrant
FINRA is wondering if a tougher regulatory scheme for lending arrangements is warranted
Dealer charged with offering and selling unregistered security-based swaps
Supervision failures connected to 529 share-class recommendations charged
AML compliance failures lead to large fine
Market manipulation scheme employed by China-based traders
Latest enforcement action concerning seniors exploitation troubling
Proposals aimed at improving secondary market structure
Regulators say that small firms are not singled out for enforcement actions, but don’t try telling that to some of your peers. In the last ...
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