Hugh Kennedy
State-registered investment advisers still have work to do when it comes to cybersecurity practices, reveals a new survey from the North American Securities Administrators Association. It ...
Looks like the SEC has declared defeat in its battle to get the Securities Investor Protection Corporation to insure against investor losses incurred in the ...
Adopting a set of compliance policies and procedures that form your firm’s compliance manual makes up only half the battle. The true key is then ...
“You never get a second chance to make a great first impression.” That age-old adage certainly applies to an SEC exam. From the moment examiners ...
A high percentage of audit deficiencies or independence findings continue to plague auditors of brokers and dealers registered with the SEC. In its third progress ...
The cost of best execution failures is ratcheting up substantially—at least for Citigroup Global Markets. The broker-dealer was fined a mere $28,500 in October 2010 ...
There’s something quite enjoyable about an extended sunset. In this case, the sunset comes in the form of another proposed two-year extension of the temporary ...
The fraud case took nearly four years to come to trial but only two hours for a jury to deliver a guilty verdict. A Massachusetts ...
Dodd-Frank’s anti-retaliation whistleblower provision doesn’t apply abroad, a court of appeals has ruled. This month, the 2nd U.S. Circuit Court of Appeals in New York ...