Hugh Kennedy
SEC's Division of Examinations intends to incorporate performance with Reg BI into retail-focused exams of broker-dealers
Over a three-year period, firm experienced five cyber events but didn't file SARs
Proposal bans Commission personnel from investing in financial industry sector funds
Firm failed to "fully and fairly" disclose conflicts tied to revenue sharing payments and incentives received from two clearing brokers
Enforcement action against Hunnicutt & Co. illustrates the price for falling short of meeting the independent AML testing requirement
Of the two dozen focus areas identified in new FINRA report, AML garners the most ink from the SRO
The communications preservation obligation spans the likes of e-mails, instant messages, text messages, chat messages, and interactive blogs
OFG Financial Services only reviewed 0.26% of the e-mails its reps sent or received over a four-year period
Report addresses a materially broader range of topics than in prior years with two dozen focus areas flagged
Cyber is flagged as a "selected highlight" in FINRA's new Examination and Risk Monitoring report as risk increases
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