Fiduciary Backers Seek Advisor Input on New Standards
The Institute for the Fiduciary Standard is asking for input from the industry in its effort to help consumers distinguish between fiduciary advisors and "product sellers."
More in Regulatory/Compliance
Firms and their advisors are paying increasing attention to the rising threat of cybercrime. more »
This year's examination guidance memos from the SEC and FINRA highlight the compliance issues that will be getting the most scrutiny. Have you been paying attention? more »
Did you read the most recent SEC funding memo to Congress? Bob Veres did -- and if he had the ear of Mary Jo White, here's what he'd say to her. more »
No matter how clean your paperwork is, a regulatory audit can still be nerve-racking. Here's how ours felt. more »
Here's how the industry's leading experts say you can protect your data and your practice. more »
New York's attorney general wants a state law allowing him to pay and protect whistle-blowers who provide his office with information about securities fraud, similar to the SEC's program rolled out four years ago. more »
The firm agreed to pay $2.6 billion to settle probes into its creation and sale of residential mortgage-backed securities. more »
President Barack Obama throws his support behind the Department of Labor's fiduciary proposal; advisors take to Twitter to voice their reply. more »
SIFMA's Karl Schimmeck discusses where the threats are coming from and what is being done to mitigate the risk. more »
A French prosecutor recommended charges for complicity in tax fraud and aggravated money laundering tied to a trust overseen by the firm's office on the island country. more »
Now that the Labor Department has pressed forward with a controversial proposal for advisors in the retirement space, where do the rules go from here? more »
The liabilities your broker-dealer faces when supervisors oversee wealth managers both inside and outside your practice. more »
Steven J. Dunkelberg was barred for allegedly swiping nearly $5,000 from a bank customer's account. He's the third rep to be ousted from the industry this year. more »
The March Issue is now online!


TWITTER
FACEBOOK
LINKEDIN

Industry Events

March 4, 2015 |

April 22, 2015 | Plantsville, Conn.

April 26, 2015 |

June 18, 2015 | New York Hilton Midtown, New York, NY

June 24, 2015 | Chicago, IL

Already a subscriber? Log in here