Kenneth Corbin

Jay Clayton acknowledged in testimony on Capitol Hill that it's a “very complicated issue.”

The regulation, which has broad support among RIAs, has spurred firms to streamline policies and procedures, according to a new study.

Even as the agency refines its approach to spurring good cybersecurity practices in advisers, its expectations aren't slackening. Here’s what to expect.

One key factor is the adviser’s tone during the exam – is it conciliatory or defiant? And remember, the examination and enforcement divisions know each other.

RIAs using digital platforms will face scrutiny about disclosure and client communications.

Robert Cook said wealth management firms "must do their part."

Leading RIA custodian is warning that BIC disclosures, legal liability in second wave of DoL rule could be devastating for small advisers.

Experts stress that advisers are on the frontlines in detecting when senior clients suffer from diminished capacity or fall victim to abuse.

Seeking more help from the industry, the regulator emphasizes a process that offers leniency for firms that proactively report and fix compliance failures.

The regulator wants the exam process to be a dialogue with firms and advisers.