Hugh Kennedy

Publisher at Regulatory Compliance Watch

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Articles

Extension sought for Form PF amendments

1 week ago | regcompliancewatch.com | Hugh Kennedy

The MFA is requesting that the SEC and CFTC extend the deadline an additional 12 months until June 2026
FAQs cover crypto, B-D custody and capital rules

2 weeks ago | regcompliancewatch.com | Hugh Kennedy

Ten questions and answers tackle broker-dealer financial reponsibility and transfer agents
Statement on B-D custody of digital assets withdrawn

2 weeks ago | regcompliancewatch.com | Hugh Kennedy

A jount 2019 SEC/FINRA statement aimed at the perceived enhanced risks of custodying digital asset securities has been withdrawn effective immediately
Complaint reporting deemed deficient

2 weeks ago | regcompliancewatch.com | Hugh Kennedy

Broker-dealer self-reported its failure to submit to FINRA accurate statistical and summary information regarding written customer complaints
Navigating third-party risk a top challenge

3 weeks ago | regcompliancewatch.com | Hugh Kennedy

Third-party risk was the single most clicked on topic in the 2025 FINTA Annual Regulatory Oversight Report
A need for ‘current and accurate’ vendor info

3 weeks ago | regcompliancewatch.com | Hugh Kennedy

A need for ‘current and accurate’ vendor infoFINRA is looking for the sharing of up-to-date information related to firms critical third-party vendors
Off-channel settlements trigger extra consequences

3 weeks ago | regcompliancewatch.com | Hugh Kennedy

Denial of petition leads FINRA to consult with the SEC to modify the collateral consequences that came with pre-2025 OCC settlements
Four crypto reg principles offered

3 weeks ago | regcompliancewatch.com | Hugh Kennedy

A verification email is on its way to you. Please check your spam or junk folder just in case.
IAA recommends regulatory changes for SEC

1 month ago | regcompliancewatch.com | Hugh Kennedy

The IAA urges new SEC chairman to deploy a flexible, principles-based approach to regulations
Misinformation about OBA proposal flagged

1 month ago | regcompliancewatch.com | Hugh Kennedy

FINRA makes it clear that the proposed OBA rule contains no new reporting and approval requirements

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