Hugh Kennedy
The SEC finally approved on Oct. 8 an amended FINRA rule 2210 that requires broker-dealers’ websites to include a “readily apparent” reference and hyperlink to ...
A failure to enforce information barriers between IA and B-D affiliates has resulted in SEC charges for the affiliates for neglecting to maintain and enforce ...
A failure to properly disclose accelerated monitoring fees has landed three private equity fund advisers within the $330 billion Blackstone Group a $39 million settlement. ...
Broker-dealers are being encouraged to voluntarily adopt and implement model fee disclosure and accessibility standards advanced Sept. 28 by a working group of regulators and ...
Broker-dealers failing to comply with their obligation to provide the SEC with reliable blue sheet data will continue to be held accountable. That’s the word ...
The SEC Sept. 21 charged a New York-based investment adviser and its affiliated distributor with improperly using $25 million in mutual fund assets to pay ...
Expect to soon be asked for your comments on a new rule proposal from FINRA focused on protecting seniors and adults with mental or physical ...
FINRA fines meted out to broker-dealers and associated persons during the first half of this year have significantly decreased compared with 2014, which was a ...
The SEC’s “Phase Two” of cybersecurity examinations has long been promised and a new OCIE risk alert released Sept. 15 signals that the time is ...