Hugh Kennedy
Believe it or not it’s been more than 10 years since the annual review requirement came into place. While the annual review can seem like ...
The court filings are flying in the U.S. v. Newman insider trading case (IA Watch, Dec. 11, 2014). On Jan. 23, both the DOJ and ...
Continued AML program failures have now ratcheted up the penalties imposed on Oppenheimer & Co. tenfold. The New York-based dual registrant will pay a total ...
FINRA spells out the benefits of strong supervisory systems as a key protection against inadvertent harm to customers in its 2015 exam priorities letter (IA ...
The SEC’s Director of the Division of Investment Management Norm Champ will be leaving the Commission at the end of this month. Champ, a former ...
Think FINRA is serious about outsourcing breakdowns? Ask Thrivent Investment Management ($90.4 billion in AUM). In November, the SRO fined the Minneapolis dual-registrant $375,000 ...
You can add another idea to the ever-growing heap of alternatives offered to address the SEC’s resource constraints limiting the number of investment adviser exams. ...
More than 10 years later and the beat goes on. The SEC’s Division of Trading and Markets has again extended its “no-action” position—first taken in ...
The stakes involved with anti-money laundering compliance keep getting higher with ever-increasing fines and even individual liability for CCOs. Witness the record-setting case last year ...
Boost your firm’s exam prep by getting “ahead of the concerns raised in” FINRA’s 2015 exam priorities letter, which was released Jan. 6. It cautions ...