Hugh Kennedy
Three-month extension granted to come into compliance with rule 15c2-11 amendments
RBC Capital Markets case is the third flipping enforcement action this quarter
Limitation agreed to after firm hit with charging advisory fees to client accounts that were not provided advisory services
How firms manage their obligations related to information collected from acquired customers is also being sought
The extension will now automatically sunset on June 30, 2022
Firm charged for failure to adopt P&Ps to prevent violations in areas of "high risk" advisers heightened supervision and more
More than half of Horter Investment's reps hired since November 2014 were deemed "high" or "moderate" risk
JW Korth did not disclose before the completion of each transaction the capacity in which it was acting
Cloud computing is transforming how broker-dealers operate by providing opportunities
Many firms called out importance of well-designed governance policies that lay out roles, processes, standards and accountability