Hugh Kennedy
The "biggest and most powerful" implementation being seen so far with AI is efficiency gains
When it comes to AI, the use of third-party vendors is the current, primary driver, making supervision critical
The FINRA AML enforcement action demnonstrates the SRO's practice of "progressive discipline"
The amendments expand the scope of entities subject to Exchange Act rule 605, and modify the content of order information reported
Come June 30, rule amendments aimed at improving the accessibility of order routing disclosures for NMS stocks will be in place
HG Vora's required report on its control purpose and current ownership position was filed a week late and on the same day acquisition bid made
Broker-dealer was charged with failing to reasonably supervise the use of personal e-mails for business-related communications
The Commission has expanded the current prohibited holdings restrictions to ban employees from investing in financial industry sector funds
The influencer's and the index provider's fee structure and the lack of disclosure surrounding the engagement proved problematic
Brief was filed against the SEC's approval of a CAT funding model deemed "arbitrary and capricious"