Hugh Kennedy
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 ...
Senior SEC Enforcement and OCIE officials have been hinting at this one for a while—a private equity enforcement case centered around misallocated expenses. On June ...
When senior SEC officials call out the critical importance of broker-dealers’ anti-money laundering programs it’s time to pay attention. This time the message was delivered ...
For the first time in 10 years, the Treasury Department has released anti-money laundering and terrorist financing risk assessments. On June 12, Treasury published its ...
The price for hiding serious conflicts of interest from clients has proven high for PageOne Financial and its sole owner and principal Edgar Page. On ...
The SEC has previously stated that one of the most critical rules under the Investment Advisers Act is 206(4)-2—the custody rule. This opinion hasn’t changed ...
Five years after the latest amendments to the SEC’s custody rule, many questions about it persist. IA Watch’s May 19 custody webinar—counting more than 700 ...
A highlight of FINRA’s annual spring conference is when firms get a chance to turn the tables on top officials of the SRO and ask ...
More and more regulators are mandating that firms in trouble hire independent consultants to address supervisory and compliance shortcomings. IA Watch recently spoke with several ...