Hugh Kennedy
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 ...
Ensuring your customers are receiving best execution of their orders is of critical importance and adequate reviews are a regulatory requirement. The best ex committee ...
Engaging in a continuous pattern of fraudulent “scheme trades” to circumvent the provisions of an incentive fee structure has landed a hedge fund manager and ...
Looks like it might be time to close the book on PageOne Financial and its sole owner and principal Edgar Page. The firm and Page ...
A Maryland-based private equity adviser and its principal owner will pay more than $3.1 million to settle SEC charges they performed brokerage services and charged ...
FINRA has observed that many broker-dealers are paying more attention to their culture and how they manage conflicts of interest. But “there is still a ...
In a bid to help small firms to establish a cybersecurity program, FINRA released May 23 a cyber checklist that small B-Ds can borrow from ...
Look for the SEC to finalize its recommended rulemaking on liquidity risk management and the use of derivatives “this year.” In a May 20 address ...
The SEC’s Exchange Act rule adopted on a temporary basis to permit a registered broker-dealer to engage in a retail forex business will expire July 31. ...