CFP Board Picks Ameriprise Exec as Chairman-Elect
Mike Greene will serve out the term of Joe Votava, who resigned earlier this year as chair-elect due to personal and business reasons.
More in Regulatory/Compliance
Seniors are increasingly vulnerable to financial abuse. Advisors have a growing role to play in helping stop it. more »
Amid persistent criticism from industry groups, a Labor Dept. official says the comment process will be pivotal to getting the fiduciary proposal right. more »
Troubles never go away when it comes to disclosures made to FINRA. Plus, an advisor did his securities research for a client event, and still got flagged by compliance. more »
Opponents warn definitions are overly broad and call on advisors and brokers to make their voices heard at the Labor Department. more »
JPMorgan sued six former executives who defected to rival Morgan Stanley, seeking a court order blocking them from enticing clients to follow. more »
Compliance experts Brian Hamburger and Robert Molinari offer up best practices for preparing for SEC and FINRA audits. more »
The fiduciary rule proposed by the Labor Department this spring is taking up most of the spotlight. more »
Bad retirement advice forced a woman to take a job earning little more than minimum wage to make ends meet, her lawyer says. more »
The commission ups its scrutiny of retirement-focused advisors and broker-dealers as elder fraud skyrockets, securities lawyer says. more »
Brian Ourand, former president of SFX Financial Advisory, stole $670,000 from clients, the SEC alleges; his former CCO and SFX agree to pay fines to the SEC. more »
Two former National Planning Corporation brokers "are just normal dudes and they just screwed up," says a lawyer for one of the men. more »
The head of a global standards-setting body argues that regulators overreacted to the financial crisis and says banking-style regulation is a poor fit for the asset management industry. more »
The world's biggest investment managers have won a reprieve from plans to label them as systemically important, staving off tougher regulation, as global authorities reassess the move. more »
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