Financial regulations

Large, active hedge funds shorted Comex futures because of the risk of higher U.S. interest rates, driving down prices of the metal, an analyst says.

Operational challenges and strategic initiatives are at a crossroads.

Some advisers are actually embracing changes by making the rules work for them.

Prices that reached an almost seven-month high in June have now dropped for five straight weeks, the longest slump this year.

OCIE plans to conduct 1,850 probes of RIAs, a 28% jump over its 2016 total, while sharply cutting those aimed at broker-dealers.

Low costs and an overall shift toward passive are only part of the reasons why they are leaving such an impact, according to four experts’ testimonies.

Corporations, banking trade groups and consumer advocates are looking for favorable legislation from Congress.

One key factor is the adviser’s tone during the exam – is it conciliatory or defiant? And remember, the examination and enforcement divisions know each other.

RIAs using digital platforms will face scrutiny about disclosure and client communications.

Leading RIA custodian is warning that BIC disclosures, legal liability in second wave of DoL rule could be devastating for small advisers.