Kenneth Corbin

As the CFP Board wrestles with shifting demographics, its latest research indicates that investors expect their advisors to put their interests first, but the majority believe they don't.

Industry regulator proposes to give brokers safe harbor from legal liability if they delay a transaction when they suspect the client is the victim of abuse.

Panel envisions a recognizable credential that would help investors distinguish between financial professionals committed to clients' best interest and those pushing products.

Experts say the Fed is likely to kick the can down the road once more on rate hikes, setting up December as the next likely time for action.

RIAs can be an easy entry point for organizations looking to move dirty money and avoid other financial entities that have formal AML procedures in place, says FinCEN.

Brokerage industry leaders told Labor officials that the plan's contract requirements will compel them to drop less-affluent clients who want to retire.

A week of hearings on contentious fiduciary proposal gets underway as SIFMA chief warns brokers will abandon retirement market if rules take effect.

Security and business continuity concerns must be addressed in service agreements when outsourcing tech operations to a third party.

Critics charge that the fiduciary proposal will be a death knell for the brokerage model in the retirement space, leaving low- and middle-income investors without advice.

An SEC compliance official says it's not a good idea for firms to "go in and very narrowly answer the questions, [not] volunteer anything, particularly if you're not trying to keep something from our attention."

A new study breaks down the compliance challenges advisors are most worried about and what they're doing about it.

A senior Labor Department official says his team is amenable to tweaks in the proposed rules so long as the fiduciary relationship is formalized with the client.

Regulators say that as threats continue to mount, they are expecting more formal policies and procedures from the firms they examine.

Head of industry group lobbying against the Labor Department's proposal is hopeful that the final regulation will address compliance objections and expand permissible transactions.

White House reiterates support for controversial fiduciary proposal, outlines new initiatives to expand access to retirement savings plans.

Asset management trade group appeals for restraint from U.S. and foreign regulators evaluating firms for designation as systemically important institutions.

As waves of Americans reach retirement age while dementia and scams are on the rise, advisors need to implement training and reporting mechanisms to protect vulnerable clients.

A potent mix of factors have created fertile conditions for elder financial abuse. Here's how advisors can better protect older clients from fraudsters.

Amid persistent criticism from industry groups, a Labor Dept. official says the comment process will be pivotal to getting the fiduciary proposal right.

Opponents warn definitions are overly broad and call on advisors and brokers to make their voices heard at the Labor Department.