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.
Commissioner suggests best way to address potential conflict is not to ban practice but require better disclosure
The move to T+2 in 2017 came with the requirement to evaluate a shorter settlement cycle within three years
Sports agents, university coaches utilized in cash solicitations scheme
Focus areas are detection. monitoring, suspicious activity report filing and fraud reporting
New regulatory notice calls out B-Ds risks and requirements, identifies "red flags"
Options are aimed at improving MMFs resiliency and broader short-term funding markets
Investment knowledge was found to be particularly low for new investors
Principal, who also serves as CCO, required to take a minimum of 8 hours of compliance training over next 3 years
The SRO flags 18 priority focus areas grouped into firm operations, communications and sales, market integrity, and financial management
B-Ds encouraged to embrace effective practices employed by their peers
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