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The Obama administration is expected to endorse more stringent fiduciary rules requiring brokers to have their clients' best interest in mind when recommending retirement-account investments; Plus, the retirement investment mistake clients don't know they're making.
February 18 -
A recent research paper found that community banks' assets, along with market share in most types of commercial lending, have fallen since the Dodd-Frank Act was passed. The report is giving advocates of smaller institutions more data to rally around.
February 17 -
Industry leaders at NICSA's strategic leadership forum in Hollywood, Fla., reached quick consensus on the twin challenges at the top of every organization's strategic priority list: managing cybersecurity threats and responding to increased regulatory demands.
February 17
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The International Organization of Securities Commissions said that it will publish a second batch of draft plans on Feb. 20 for identifying funds or particular investing practices that could present systemic risks.
February 17 -
Local investing opportunity networks can bring in a healthy income stream -- but advisors need to make sure compliance is squarely on their side.
February 17 -
Obama signs executive order encouraging businesses to share more information about new and emerging threats as regulators warn the advisory industry that they're watching closely.
February 13 -
Top official says the industry regulator is combing through hundreds of comment letters on controversial broker data-reporting rules, vowing close consideration of privacy and security concerns.
February 13
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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."
February 11
- Money Management Executive
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.
February 11
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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.
February 9
