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."