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.

From recommending wrong share classes to cherry-picking allocations, these are the pitfalls advisers should avoid.

As rules pile up, industry leaders are looking for ways to help advisers navigate what they say has become a regulatory labyrinth.

Mary Jo White also said that the commission lacks sufficient resources to provide oversight of investment advisers.

The regulator has filed a complaint against whistleblower Johnny Burris, who has filed multiple cases against one of its largest member firms, JPMorgan.

Massachusetts’ securities regulator tells the robo adviser to change its client communications policy by the end of September.

Bad behavior on the part of humans could open opportunities for artificial intelligence to act as risk management checks in financial firms.

Only 18% of RIAs refrain from these key conflicts of interest, a new study by the Institute for the Fiduciary Standard found.

U.S. attorneys have opened criminal inquiries to look into both potential corporate and individual wrongdoing, according to a person familiar with the Justice Department investigation.

The bank’s president Tim Sloan has been meeting with members of Congress and their staffs in Washington, said people with knowledge of the discussions.

Charles Augustus Banks called San Antonio Spurs player Tim Duncan's claims against him "naïve and immature" last year. Now the former RIA is under indictment by a federal grand jury and faces SEC charges.