Regulation

Audit volume is up but compliance issues are down — with cybersecurity as the wild card.

Andreessen Horowitz — one of the richest and most famous firms on Sand Hill Road — is giving up its VC designation.

Having ‘fessed up to improper 12b-1 fee disclosures, dually registered advisors might still be excluded by FINRA.

Since Wells Fargo’s phony-accounts scandal broke in 2016, the bank has appeared contrite in public. In private, it’s a different story.

After 30 years and a monster merger with Financial Engines, the firm is doubling down on its AUM fee structure.

The Ladenburg IBD failed to spot the red flags of a barred ex-advisor who later pleaded guilty to fraud, former clients say.

Experts caution advisors to take document requests seriously. Also, it doesn't hurt to set a collaborative tone at the very beginning.

Advisors need to be willing to take a financial hit for clients

The presidential hopeful ups the pressure on FINRA and lays down another plank in a platform seen as hostile to Wall Street.

Under the firm's CEO, who is also its chief compliance officer, the alleged scheme continued undetected for seven years, the SEC says.