Regulation

Vanguard has joined the fight against a plan by the Financial Stability Board to identify too-big-to-fail investment funds, calling its proposal deeply flawed.

A top lawyer for the industry regulator says it would be happy to help after a congressman calls on the agency to assume advisor exams.

"Advisors that know their clients can smell when something's up," says regulatory and compliance consultant Daniel Bernstein.

Kirsten Flynn Hawkins stole roughly $500,000 from a longtime customer over 33 months, starting shortly after he suffered a debilitating stroke in July 2011.

Co-sponsor of legislation to derail Labor Department's fiduciary proposal admits that the bill's greatest goal is to put political pressure on the administration.

The revised proposal would require brokers to disclose to clients the compensation they receive when jumping to a new firm.

Most managers have not yet realized the full potential of social media, or set corporate policy, to augment their institutional sales and marketing efforts.

Richard Ketchum voices support for SEC to move on a uniform fiduciary standard for brokers and advisors, while warning of unintended consequences from DoL's proposal.

Regulators will be paying close attention to whether advisors properly safeguard the interests of elderly clients. Here's what to watch for.

Enhanced programs will likely include financial planners. The initiative follows earlier legislation prompted by a Financial Planning investigation.