Hugh Kennedy
Two of the biggest dark pool operators in the U.S. have agreed to the largest-ever penalties imposed on alternative trading systems. The firms were charged ...
NASAA members adopted Feb. 1 a model act designed to protect seniors and vulnerable adults from financial exploitation. The three-page model—which is now available for ...
Investors in a hedge fund will be reimbursed nearly $3 million in losses suffered when they were misled about the fund’s investment strategy and historical ...
Registration for a half dozen regional compliance outreach programs for broker-dealers to be co-hosted by the SEC and FINRA is now open. The regional programs ...
A federal judge Jan. 26 ordered the SEC to return a $21.5 million settlement to the now shuttered hedge fund adviser Level Global Investors after ...
The whistleblower programs established at both the SEC and the CFTC in the wake of the Dodd-Frank Act are alive and well. Last week, the ...
Just because a particular issue gets trimmed from the SEC’s exam priorities list one year to the next doesn’t mean that issue has fallen off ...
As expected, cybersecurity appears front and center in OCIE’s 2016 exam priorities letter (see related story). The Commission is on record in stating that it ...
Cyber-attacks against financial institutions to extort payment in return for the release of sensitive information are on the rise (IA Watch, Nov. 19, 2015), states ...
Destructive malware is a unique threat in that it is both infrequent and yet potentially catastrophic. The Financial Services Information Sharing and Analysis Center called ...