Practice

PALM DESERT, Calif – Is the Financial Stability Oversight Council out to undermine the Securities and Exchange Commission’s “role, independence, and democratic process”?

Let your social media actions adhere to the Golden Rule. Seek out ways to be helpful, says Joanna Belbey, social media and compliance specialist for compliance technology firm Actiance.

The general counsel for the advocacy group that represents the investment fund industry said Monday that financial transaction taxes harm investors, retirement savers, market operations, economic growth and investment returns.

Neuberger Berman Group has announced it will begin offering a zero-sales-charge share class.

Wells Fargo has hired 17 advisors to its standalone branches and added nine advisors to its independent brokerage business, Financial Network.

LinkedIn is a powerful tool for advisors to connect with potential clients, but it should be used with careful diligence. Failure to do so could result in ineffective platform execution, or even worse – a breach in compliance.

LinkedIn is a powerful tool for advisors to connect with potential clients, but it should be used with careful diligence. Failure to do so could result in ineffective platform execution, or even worse – a breach in compliance.

A coalition of charities has expressed concerns about a Senate budget proposal that could potentially place a limit on charitable deductions.

Wells Fargo CEO John Stumpf said banks are no longer "too big to fail," and admonished fellow bankers to accept the existence of the Consumer Financial Protection Bureau.

Personal devices can pose a serious threat to businesses if strict policies and preventative cybercrime measures are not put in place, according to a study. Advisory firms may be wise to maintain a watchful eye on employee communication.