Hugh Kennedy
The SRO is on track to deliver its 2022 examination and risk monitoring report in early January
SEC found that MIO Partners was investing hundreds of millions o dollars in companies that McKinsey was advising
The Commission has proposed amendments to the electronic recordkeeping and prompt production of records requirements applicable to B-Ds, SBSDs and MSBSPs
Aim is to train registered persons more effectively and reduce unnecessary impediments to requalification
Lee suggests firms bring an "enhanced focus" to recommendations and mitigate conflicts of interest
A jury in a Boston federal court has determined that hedge fund adviser Lemelson Capital Management and its principal Gregory Lemelson violated the anti-fraud provisions ...
The SEC weighed the impact of the proposed amendments on efficiency, competition and capital formation
The "tide-turning reforms" expected after Reg BI took effect have yet to fully materialize
Focus areas should serve as a useful guide for shoring up compliance weaknesses
Roisman would like to see the Commission clear up industry confusion about whether to notify the SEC and investors of a cyber breach