Regulatory / Compliance

Asking the Right Questions about Risk and Robos
Critics suggest questionnaire-driven automated advice can't completely address client risk tolerance, but technology firms say transparency is the solution.
The commission's barring of one advisor follows similar action by state authorities, indicating that regulators are coordinating their enforcement activities. Read More »
The fund was purportedly a safe investment based on a computer algorithm. In fact, clients dumped millions of dollars into a fund, which later lost 80% of its value in a single month, authorities say. Read More »
LPL CEO Mark Casady expects "continued pressure on brokerage sales." Read More »
Two client advisors pleaded guilty to conspiracy charges while the firm agreed to pay $547 million to authorities. Read More »
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 »
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