Hugh Kennedy
Ever since the 2008 financial crisis FINRA has made understanding how broker-dealers plan for and manage liquidity risk a priority. After a year-long review of ...
Confidentiality agreements that attempt to silence potential SEC whistleblowers may violate rule 21F-17 which prevents firms from impeding communications with the commission about securities law ...
This summer, Wells Fargo, Raymond James, and LPL Financial were ordered by FINRA (IA Watch, July 7, 2015) to pay more than $30 million in ...
The global financial crisis certainly caused many players in the real estate market to undertake varied strategies to ride out things until the market stabilized. ...
An SEC examination of 10 broker-dealer branch offices that distribute structured securities products shows B-Ds have work to do when it comes to the implementation ...
The Financial Services Institute believes the true cost to the independent financial services industry and investors of the Department of Labor’s proposed fiduciary rule is ...
A new sweep directed at broker-dealers by FINRA continues the SRO’s assessment of how firms identify, mitigate and manage conflicts. The sweep focuses especially on ...
Communication failures across business units have resulted in a $2 million fine for Charles Schwab & Co. for net capital deficiencies and for related supervisory ...
The SEC has charged two Citigroup affiliates with defrauding 4,000 investors in two hedge funds that eventually collapsed in 2008 during the financial crisis, resulting ...
Could you pinpoint the dollar amount your firm currently expends on compliance? If not, you’re not alone. The second annual C-Suite Survey of financial services ...