Financial regulations

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.

Technology that improves compliance, lending and payments by automating processes and relying on AI was spotlighted at Next Money and Finovate, two fintech conferences held in New York this week.

The regional brokerage is the latest to incur a penalty for failing to waive fees on Class A shares sold to eligible institutional clients.

The penalty is the largest ever imposed by the Consumer Financial Protection Bureau.

Risk aversion is what everyone thinks about first, and getting the lawyers involved is what everyone thinks about second.

To help identify fraudulent advertising , advisers will be required to create and maintain documents that demonstrate performance calculations or returns.

Edward Wedbush allegedly failed to supervise mandated regulatory filings.

Eligible taxpayers can now qualify for a waiver of the 60-day time limit and avoid possible taxes and penalties on early distributions, if they meet certain requirements.

The fundamental nature of the social network is interaction and conversation — not the simple spouting of PR.

Investors can expect limited options or higher fees in their retirement plans as brokerage firms are evaluating their pricing structures to comply with the fiduciary rule.