Hugh Kennedy
Firms recommended to proactively think about the intersection between business and technologies
Morgan Stanley charged with falling "woefully short" in the firm's PII protection efforts
The novel SEC enforcement action charges broker-dealer with violating the municipal advisor registration rule
Private fund adviser charged with failing to disclose conflicts and making material misstatements and omissions tied to SPACs
Three top exam tips passed on by former co-head of SEC's Private Funds Unit
Enforcement actions reflect cases that tie back to many of the issues flagged in FINRA's 2022 exam focus report
FINRA claims broker-dealer charged commissions on low-principal transactions that were "not fair and reasonable"
The Commission's program has awarded $1.3 billion to nearly 300 whistleblowers over the last dozen years
Plan addresses enforcement and exam initiatives, the modernization of disclosures, updating exiting Commission rules and more
IA acted contrary to its client disclosures and internal policies concerning reviewing accounts of clients in wrap program
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