Hugh Kennedy
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 ...
When compliance doesn’t diligently pursue significant “red flags,” someone is likely going to pay. For Charles Smulevitz and Kevin McKenna, who served successively as chief ...
Nearly one-third of the surveyed broker-dealers and investment advisers responding to a Sutherland/Financial Services Institute cybersecurity benchmarking survey experienced a cybersecurity incident within the past ...
Despite a “banner year” in which it brought a record 755 cases in FY 2014, the SEC’s Enforcement Division has faced a number of questions ...
As the July 21 initial comment period closes in on the Department of Labor’s controversial fiduciary duty rule proposal, the likes of President Obama, the ...
SEC Chair Mary Jo White has now jumped into the debate swirling among her fellow commissioners Luis Aguilar and Daniel Gallagher concerning CCO liability and ...
SEC Chair Mary Jo White highlighted the Commission’s enforcement record and complex and far-reaching regulatory efforts during her tenure in defending against claims leveled by ...
For the discerning compliance professional, SEC enforcement actions are chock full of lessons learned and tripwires to be avoided. In June 2014, summer school was ...
The SEC’s Office of the Investor Advocate, with the support from Chair Mary Jo White, will look to get its views heard earlier in the ...