Hugh Kennedy
FINRA has published FAQs to assist broker-dealers with the reporting of Treasuries transactions to TRACE. The SRO notes that the participation agreement will be updated with ...
At the beginning of the year, FINRA signaled in its 2017 examination priorities letter that it has enhanced its risk-based surveillance and examination programs to ...
There is more “work to do” when it comes to broker-dealers’ anti-money laundering compliance programs, according to a senior FINRA official. In an address at ...
Crowdfunding and the portals that bring buyers and sellers together online are gaining traction. Twenty-one funding portals have emerged to facilitate crowdfunding, with 163 deals ...
A proposal that would provide an exception to the prohibition on projecting performance to permit brokerage firms to distribute a customized hypothetical investment planning illustration ...
When you don’t follow one of your compliance policies and procedures and processes nearly half the time, you are certainly inviting trouble. Despite knowing that ...
Not having written P&Ps to prevent the misuse of material non-public information and ignoring a “daily restricted list” of securities for personal trading purposes are ...
The global financial crisis continues to swallow up its fair share of industry players. For private equity adviser Scott Landress, the trouble started when UK ...
Three years into its overhaul of its arbitration system, FINRA continues to make progress with improving transparency and fairness in the system. In an 11-page ...
In January, the SEC shouted from the rooftops that it remains laser-focused on money laundering and brokerage firms’ AML programs. The Commission’s 2017 exam priorities ...