Hugh Kennedy
Derivatives clearing organizations will have to conduct at least annual penetration testing of their IT systems under the CFTC’s new final rule on DCO system ...
The Commission Sept. 8 took another step to accept a foreign regulator’s approach to overseeing swaps. In this case, it was the Japan Financial Services ...
A number of industry heavy hitters are in lockstep agreement on the SEC’s proposed new rule that would require investment advisers to adopt and implement ...
Thirteen advisory firms found via an SEC enforcement sweep to have negligently spread false performance claims originally made by F-Squared Investments (IA Watch, Dec. 23, ...
SEC Enforcement director Andrew Ceresney was quick to point out “a common theme” in the Commission’s recent enforcement actions against private equity firms: a failure ...
The SEC’s enforcement activity sharply declined in the Commission’s fiscal third quarter, according to new analysis released from the financial consulting firm Cornerstone Research. The ...
With the coming mid-November effective date of FINRA’s new rule requiring the delivery of an educational communication in connection with broker-dealer recruitment practices and account ...
The PCAOB remains concerned about the “consistently high number” of deficiencies across auditors of broker-dealers, according to the Board’s recently released annual report on its ...
Repeated swap reporting violations by Deutsche Bank AG have led the firm and the CFTC to seek the intervention of a Court-appointed monitor to ensure ...
It’s been more than a year since FINRA mandated background checks for registered reps for the first time (IA Watch, Feb. 5, 2015). By all ...