Hugh Kennedy
Publisher at Regulatory Compliance Watch
Articles
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1 week ago |
regcompliancewatch.com | Hugh Kennedy
Welcome!Log into your account Recover your password Home Broker-Dealers BD Latest News Tell FINRA what rules could use changing Return to search Gain instant access to our expert editorial analysis and in-depth insight.
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2 weeks ago |
regcompliancewatch.com | Hugh Kennedy
Welcome!Log into your account Recover your password Home Broker-Dealers BD Latest News Firm charged with Reg BI, Form CRS failures Return to search Gain instant access to our expert editorial analysis and in-depth insight.
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3 weeks ago |
regcompliancewatch.com | Hugh Kennedy
Compliance issues were tied to the supervision of outside brokerage accounts and the flow of information between research analysts and trading personnel
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3 weeks ago |
regcompliancewatch.com | Hugh Kennedy
Focus areas will be tailoring regulations for crypto trading, crypto custody, tokenization, and DeFi
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3 weeks ago |
regcompliancewatch.com | Hugh Kennedy
FINRA is seeking recommendations that could "reduce unnecessary costs and burdens impacting the capital-raising process"
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