Financial regulations

Mutual fund providers sought to use digital platforms as new distribution channels for their funds, but new guidance upends a strategy that would rely only on proprietary products.

New guidance from the Department of Labor provides conditions under which firms can offer bonuses and other compensation incentives.

Wirehouse system and supervisory failures are just the start.

Months before the law is phased in, "traditional firms are beginning to look more and more" like independents.

The bank ignored fees on structured notes, and clients may have been shortchanged, a consultant says.

Fee-only advisors seek clarification from the DoL on compliance requirements.

Digital advice clients "have affirmatively chosen not to enroll in comprehensive financial planning," according to a newly published white paper.

Dupree Financial Group was censured for shortfalls that firm's founder insists were not indicative of a lax compliance culture.

Open enrollment offers seniors the opportunity to change their plans and save hundreds of dollars.

Artificial intelligence is poised to bring dramatic change in the roles computers and humans play in regulatory compliance.