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.
B-D agrees to pay $1.25 million penalty
FINRA is proposing to impose new supervisory duties on firms
The dual registrant will pay a $1.5 million penalty
OCIE considers "dozens" of potential risk factors when identifying exam targets
OCIE's 2020 exam priorities include "perennial risk areas" along with some new additions
B-Ds taping procedures found to be lacking
UITs have again become a source of pain
Leissner received more than $43M in illicit payments for his role
Failure to adopt P&Ps connected to client objectives, restrictions
IM Director reviews year, looks ahead
Proposals address Reg BI, firm misconduct
New examination and risk monitoring structure in place
Sanctioning of CCO illustrates perils facing small firm CCOs
Check your peers for a recipe on effective cybersecurity
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
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