Hugh Kennedy
For a third consecutive year, cybersecurity remains the hottest compliance topic among investment advisers. Nearly 9 out of 10 IAs regard the safeguarding of critical information ...
FINRA has fined Deutsche Bank Securities a record $6 million for failing to provide timely, complete and accurate “blue sheets” trade data in an automated ...
The SEC Enforcement Division’s Asset Management Unit is now back to its full complement of two co-chief’s. The Commission has announced that C. Dabney O’Riordan ...
The CFTC has issued a new staff advisory reminding all registrants of their obligation to “regularly” review the economic sanctions programs and the Department of ...
It’s now officially a trend—the SEC bringing enforcement actions against investment advisers for defrauding professional athletes. For the third time since March (IA Watch, May ...
A survey released June 16 by the Ponemon Institute and IBM Security reveals that the average cost of a data breach in the U.S. this ...
A fund administration company has been charged by the SEC with failing to live up to its gatekeeper responsibility concerning two of its private fund ...
FINRA recently released FAQs to supplement the guidance the SRO provided in a January Trade Reporting Notice addressing a firm’s OTC equity trading and reporting ...
Two hedge fund managers and their former Food and Drug Administration senior official alleged source were charged June 15 by the SEC with insider trading ...
Despite taking the proactive step of instituting policies tied to the purchase of non-traditional ETFs in the wake of a 2009 FINRA regulatory notice warning ...