Practice

Chief compliance officers face increasing responsibilities and feel that they are struggling to keep up with the pressure of regulatory changes, an SEI poll conducted at its CCO Forum finds.

Chief compliance officers face increasing responsibilities and feel that they are struggling to keep up with the pressure of regulatory changes, an SEI poll conducted at its CCO Forum finds.

Speakers at Source Media’s Women Advisors Forum in Boston discuss winning practice management techniques.

Capitol Hill’s efforts to fix the financial system will merely burden already cash-strapped banks, their officers complain.

Many advisors find all-encompassing business strategies too much to cope with. Enter the postcard plan.

They create an “income window” for defined-contribution record-keeping firms.

Bank of America Merrill Lynch said it will create a global service bureau for communications between banks on securities transactions.

The new European Union hedge fund passport rule the European Parliament is soon to vote on, will permit all hedge funds, including those in the U.S., to operate throughout all of Europe’s 27 nations—but it would also subject them to the strict compensation rules.

Citigroup Inc. Chief Executive Vikram Pandit offered up a scathing review Monday of Basel III, saying the new rules do nothing to reduce pro-cyclicality or to level the playing field among different countries and differently regulated financial institutions.

The SEC and Connecticut Banking Commissioner Howard Pitkin charged Southridge Capital Management LLC and its chief executive officer, Stephen M. Hicks, with defrauding investors in million of undeserved fees.