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.
Initiative is aimed at attempting to alleviate the uncertainty faced by compliance officers when it comes to personal liability
Fully 7-in-10 compliance professionals consider the overall compliance function at their firms to be "under-resourced"
Initiative seen as improving transparency and enhancing the regulatory audit trail in the securities lending market
The proposed amendments retain the contours of rule 3240, strengthen its general prohibitions and modernize the "immediate family" exception
SRO has confirmed the value and effectiveness of rule 4730 and will maintain the BCP rule without change
Firms should review their relationship summaries in light of SEC staff observations on Form CRS
It took two communications from examiners to Newman Ladd's CCO before the firm acted on filing its Form CRS
J.P. Morgan Securities employees often communicated about securities business on their personal devices and those records were not preserved
The SEC charged Wedbush with the unlawful distribution of nearly 100 million shares of more than 50 low-priced microcap companies
Fully 54 items appear on the new edition of the SEC's rule list
If you do not receive this within five minutes, please try and sign in again. If the problem persists, please email: