Regulation

Federal agencies are working on a uniform fiduciary standard, but one NYC official believes states can lead the charge.

Fraud can occur in a myriad ways, from email scams to ID theft to manipulation of investment valuations. See a dozen common frauds -- and ways advisors can help prevent them.

A paradigm shift in operational strategy and approaches to managing data is needed that can only be put in motion by leaders with the imagination to believe that we really can deliver data to investors in real-time.

To better police the advisory industry, the SEC chief seeks additional funding for advisor examinations and to bolster enforcement.

Schwab sought restitution in arbitration after an advisor left its Private Client Group to join Merrill.

Former RBC Capital Markets managing director Mel Schonhorst achieved a measure of success after seven years trying to clear his name in a Texas investigation that cost him his job though he was never accused of anything.

Having already developed cloud-born software for companies in industries dealing with sensitive and highly regulated data, including energy, education and healthcare, upstart technology firm Box is looking to add asset management firms to its client roster.

CFPs cite real estate downturn, outside business failures as triggers for financial troubles.

The perceived threat of asset managers operating as a shadow banking system, thereby needing bank-like regulatory oversight from the Fed, produced the strongest commentary at the ICI forum, as key speakers spoke of pushing back against any attempt to entwine firms into further government oversight.

If regulators can't tell the cultural differences between wirehouses and independent RIAs, Bob Veres has put together a few survey questions they can use.