Regulation

The SEC barred an RIA from the industry after the firm was charged with misleading investors -- including falsely claiming that its fund was "SEC approved."

Asset management organizations must adopt modern, maintained systems that provide a single coherent book of record and smoothly integrate with the surrounding necessary data flows.

Support for fully exempting community banks from the Volcker Rule continues to grow, but advocates fear it could be waylaid by a larger fight in Congress over changes to the Dodd-Frank Act.

No clarity on how regulators will decide to handle fiduciary standard proposed for broker-dealers, Schapiro said.

The mounting danger of data breaches and online crime threatens firms with financial disaster unless they become more cyber-resilient, says one cyber security and technology risk expert.

The push to make money-market funds safer means the biggest U.S. banks will pay more to borrow while America’s near record-low financing costs go even lower.

With mutual fund assets growing exponentially, more private fund managers are taking advantage and launching retail funds. They might be unfamiliar with the scrutiny faced by traditional mutual funds, especially since Sarbanes-Oxley was passed. There are things to keep in mind when considering the best Sarbanes compliance practices.

Too many companies skip this important step when confronted with a breach, but financial services firms are a critical line of defense against threats to client data.

The three join a growing roster of J.P. Morgan alumni suspended and fined by FINRA since January.

Government and industry regulators release results of sweep exams evaluating digital defenses at advisor and broker firms, the latest indication that the groups are getting serious about cybersecurity.