Financial regulations

Advisors are increasingly buying tech to monitor information sharing between financial firm partners and tech vendors.

As wealth managers collect more client information, it is up to advisors to understand the value of data to the business and how it needs to be handled.

Firms are seeking these three specialties.

By allowing disciplinary actions to be expunged from certificants’ records, the board is sabotaging its own efforts to raise industry standards.

A group representing some of the world’s largest money managers wants the SEC to let brokers accept payments from domestic clients just for research.

As the SEC furloughs workers, the consequences are rippling across the entire wealth management industry.

The move follows calls for reform. Banned brokers, acting in lieu of attorneys, have made a living for decades representing investors.

A record number of fund openings and closures were reported last year. What does this mean for the future of the industry?

The SEC has cited concerns about manipulation as a top worry that must be addressed before it approves a bitcoin ETF.

The fintech's new products may violate several banking and securities regulations, industry officials say.