Hugh Kennedy
Hugh has 35 years of expertise in the financial services industry, with publishing and legal research experience spanning the public company, investment adviser, broker-dealer, credit union and banking industries. As a senior-level manager, award-winning writer and conference speaker, he has covered key issues stemming from the Securities and Exchange Commission, Commodity Futures Trading Commission, Department of Labor, Public Company Accounting Oversight Board, NCUA, banking agencies, Capitol Hill, NASAA and other regulators. He has developed and created a number of new publications, online databases and value-added portals serving the needs of financial industry professionals.
Failed to adequately disclose how their clients' investments were tied to the Aequitas enterprise
Documents supporting RAUM figure found to be misleading
Eight new FAQs cover six core areas
Adjusting or building upon current systems of supervision/compliance an option
Look for the regulations to be enforced after Sept. 1
Two years after proposal, FINRA appears no closer to finalizing OBA rules
There is current uncertainty about how the securities laws apply to tokens
FINRA rules limit offering and organization expenses
The SEC has settled 15 ADR pre-release cases
The financial services industry and a watchful market determining how best to react