Regulation

State regulators and state legislature are stepping in to propose initiatives to protect consumers against salespeople wrapped in fiduciary clothing.

All 83,000 CFPs certification information is now published via the same technology that underlies fast-proliferating cryptocurrencies.

A new FINRA initiative to root out breaches of supervisory rules on 529 plans provoked criticism from the IBD advocacy group.

Digital tools will not only allow advisors to serve more clients, they can help advisors charge for services with greater accuracy.

As wealth managers collect more client information, it is up to advisors to understand the value of data to the business and how it needs to be handled.

The senator’s presidential ambitions are becoming another headache for the Wells Fargo CEO.

Firms are seeking these three specialties.

To win at cybersecurity, base your strategy on the way you are already serving clients.

By allowing disciplinary actions to be expunged from certificants’ records, the board is sabotaging its own efforts to raise industry standards.

Royal Alliance must pay more than $2.5 million to one ex-client while dealing with charges against the firm and a former rep by William Galvin’s office.