Financial regulations

Issuers and investors stand to benefit from the provision, which makes it easier for managers to select securities for their funds, but not without risk.

The bank sometimes ignored the advice of its own diligence vendors in packaging and selling loans.

The organization awarded millions to firm insiders that provided information in a 2016 case against BofA.

While some are mainstays, there are a few new ones to add to the list this year.

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

Funds that experienced poor performance and registered investment companies with little management experience are among those that may be under scrutiny.

Rapidly shifting economic conditions, a new tax law and the preponderance of low-cost passive products are just some of the obstacles in the year ahead.

Research traditionally funded by asset managers through soft-dollar trading commissions now requires added transparency.

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

Form U4s and U5s don’t always match up, but it’s still the advisor’s responsibility to be proactive, writes compliance expert Alan J. Foxman.