Kenneth Corbin

She'll now be responsible for supervisory operations at one of the largest firms she once helped regulate.

The revised code of conduct will broaden fiduciary responsibilities for planners, but critics say the framework falls short on disclosures and conflicts.

Compliance experts stress the importance of working out a game plan for how to handle an exam before the feds come knocking.

The trade group cautions that the SEC could outsource advisor oversight due to low examination rates.

After a federal appeals court strikes down the fiduciary rule, a legal path forward seems uncertain, but the regulation has already made its mark.

Industry insiders see the agency proceeding with its rule to harmonize standards for brokers and advisors.

The agency is using alternatives to enforcement actions such as targeted exams, deficiency letters and a self-reporting initiative.

Some are calling for the CFP Board to get tough on conflicts and compensation as it finishes revisions to its standards of conduct.

Massachusetts is probing whether the firm's wealth management unit steered clients toward inappropriate investments and high-cost accounts.

The commission is visiting far more advisors than just two years ago.