Hugh Kennedy
FINRA’s latest exam sweep focuses on broker-dealers’ receipt of order routing inducements and potential conflicts of interest. The SRO is looking to determine the impact ...
In a nod to advances in communications technology, increased acceptance of flexible work arrangements and the costs affixed to on-site inspections of remote office locations, ...
A rulemaking barometer that compliance professionals have paid a great deal of attention to in the past will get streamlined going forward. The SEC’s next published ...
In the wake of the landmark Kokesh v. SEC decision, the Commission’s Enforcement division will redouble its efforts to bring cases as swiftly as possible, ...
Evidence supports delaying the SEC’s liquidity risk management program rule and its related reporting requirements at least one year would be appropriate. That’s the take ...
The First Amendment’s been in the news again lately, prompting debate about football players kneeling during the national anthem. One aspect of the amendment allows ...
The aging of the U.S. population and the current regulatory focus on the protection of seniors have made detecting the warning signs of suspected guardian ...
With the scale and scope of cyber attacks increasing, front-line staffs are scrambling to not only keep the bad guys out, but keep up with ...
FINRA promises you a “safe harbor” when you put temporary holds under new rule 2165 on disbursements when you perceive a senior customer being exploited. ...
Historically the SEC has announced charges against firms not satisfying rule 105 of Regulation M in big bunches. This time it’s only the New York-based ...