Hugh Kennedy
The SEC claims the defendants failed to comply with both Reg BI's "Care Obligation" and "Compliance Obligation"
SEC looking to determine whether index providers, model portfolio providers, and pricing services are acting as IAs under the Advisers Act
Jaime Lizarraga and Mark Uyeda have been confirmed by the U.S. which will bring the SEC to its full complement of five commissioners
Firm settles charges that it unlawfully purchased stock in seven public offerings after selling those same stocks short
Thousands of instant messages sent and received through reps' cell phones not captured, reviewed, retained
FINRA calling out the recent blossoming of multiple cases involving books and records violations, an exam focus
Temporary hold and trusted contact provisions seen as "critical tools in the fight against elder financial abuse"
System "often failed" to correctly identify and implement purchase limits on Class C shares when lower cost A shares available
System changes triggered a programming defect in BIDS trade advertising software
The AML threat landscape continues to evolve along with rules and regulations
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