Regulatory / Compliance

Julius Baird Dodges Prosecution for Helping U.S. Tax Cheats
Two client advisors pleaded guilty to conspiracy charges while the firm agreed to pay $547 million to authorities.
The brokerage firm, which has been hit with millions in regulatory fines in recent years, lost another 91 FAs. Read More »
Banks are likely to accelerate the shedding of their in-house mutual fund businesses in light of the proposed rule. Read More »
A congressional committee attempts last-minute bid to block the plan, but President Obama would surely veto any legislation. Read More »
The wirehouse, which said it added 151 advisors, reported that it had paid out $284 million to clients who have lodged complaints related to the sale of Puerto Rico bonds. Read More »
In order to step up advisor exams, the agency plans to transition workers from its broker-dealer wing and hire additional staff as it looks to use a third-party organization to help. Read More »
Advisors should start getting up to speed now if they want to keep their heads above water when the rule begins to be implemented later this year, experts say. Read More »
Certified professionals are now required to act in a client's best interest. Read More »
The industry is bracing for an increasingly regulated advisory landscape. Here's what advisors need to know. Read More »
A FINRA panel ordered the wirehouse to pay a client $95,000 for losses relating to bonds issued by the island commonwealth. By contrast, UBS says it faces more than $1 billion in similar claims. Read More »
Pooled employer plans and auto-enrollment gain Senate support, but advisors working with those plans could soon be held to a higher fiduciary standard. Read More »
Telling clients what it means to be a fiduciary is vital, but it shouldn’t come across canned and wordy. Read More »
The proposal landed at the White House's Office of Budget and Management for one last review. Read More »
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