Hugh Kennedy
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 ...
FINRA has once again turned to a former director of the SEC’s Trading and Markets division to lead the organization. The SRO announced June 13 ...
Seven pages of common exam deficiencies from FINRA.
The SEC has brought is first-ever case against a brokerage firm for solely failing to file suspicious activity reports. Charged June 1 was Albert Fried ...