Hugh Kennedy
With the initial phase of the DOL’s fiduciary duty rule kicking in last month and the rule being on the front burner for months, advisers ...
The SEC has made “recent and rapid advancements” with its analytic programs that are harnessing the power of big data and these developments are having ...
A sentence has been handed down in a cherry-picking case that highlighted the SEC’s ever-increasing power to analyze trade data to detect suspicious trading patterns. ...
There is a price to pay when you sign off on certifications that your firm is in compliance with “pre-release agreements” for American Depositary Receipt ...
The North American Securities Administrators Association characterized the recently released findings of a survey of the senior-related practices and procedures of more than 60 broker-dealers ...
Data breaches can be costly and are becoming increasingly more so in the U.S. According to IBM Security’s global 2017 Cost of Data Breach Study ...
It was the very first priority revealed in FINRA’s exam priorities letter released at the start of the year—devoting attention to firms’ hiring and monitoring ...
Despite clear P&Ps on private securities transactions and outside business activity and regular in-person compliance department inspections, an Ameriprise Financial Services rep was able to ...
Filing thousands of Suspicious Activity Reports per year doesn’t necessarily mean your Bank Secrecy Act compliance program hits all of its marks. Alpine Securities Corporation, ...
There is a price to pay for ignoring compliance mandates. Despite repeated warnings, restrictions and prohibitions from compliance, a former Morgan Stanley Smith Barney top ...