Regulation

Rather than just one area of focus, funds and their boards are facing an increasingly active SEC in a number of significant areas.

The lawsuit stems from the conflicting demands placed on advisors who are expected to cross-sell banking products.

Regulator’s surveillance director says watchdog would review broker-dealers who implement automated advice, to determine if they properly assessed client risk tolerance.

When thinking about liquidity, the SEC wants fund companies to do more to ensure that investors can get their money out. In addition, mutual fund companies could be forced to implement swing pricing.

To protect themselves from the industry self-regulator's scrutiny of these products, firms should take these actions.

It’s challenging to afford tech upgrades and meet compliance demands at the same time. Here’s how firms are doing the best of both.

Even as independent advisors rush to comply with new laws, they are also being urged to implement innovative digital tools. Here’s how successful firms are managing to do both—cost effectively.

Joel Bruckenstein puts two applications – RIAglass and MyRIACompliance – through their paces. Can they help advisors comply with regulations?

Pricing will be a particular thorn in the side of asset managers, and fund boards will face an active SEC, a panel of industry experts gathered by Money Management Executive suggest.

FINRA won’t release details of an interview with a client who filed a complaint against an advisor who claimed the concerns were vague, according to attorney Alan Foxman.