Hugh Kennedy
The SEC has charged two Citigroup affiliates with defrauding 4,000 investors in two hedge funds that eventually collapsed in 2008 during the financial crisis, resulting ...
Could you pinpoint the dollar amount your firm currently expends on compliance? If not, you’re not alone. The second annual C-Suite Survey of financial services ...
When the SEC releases three enforcement cases on the same day – tied to the same issue – you know a message is being sent. ...
The SEC has announced fraud charges against two Ukrainian hackers and a host of domestic and foreign traders in connection with an international trading scheme ...
A dark pool operator has been hit with the largest SEC penalty to date against an alternative trading system for operating an undisclosed proprietary trading ...
Seasoned compliance professionals are always parsing the language in SEC enforcement actions for guidance and to glean the message being sent by the Commission. Combing ...
The Department of Labor certainly got an earful from critics and proponents alike of its fiduciary rule proposal in a four-day public hearing this week ...
The SEC has now brought its first case against an underwriter for pricing-related fraud in the municipal securities primary market. On August 13, the Commission ...
By all measures the investment adviser industry shows healthy growth. That’s one of the conclusions in the recently released 15th annual Evolution Revolution study from ...