Regulation

Navigating challenges and what's ahead in banking regulation.

Part art, part science, Form ADV is the most important document an RIA will prepare — and one that will always require judgment calls.

Adam and Daniel Kaplan kept getting jobs at RIAs despite the disturbing allegations that led to their firings at other firms.

The chair warned that fund companies using predictive analytics need to ensure the technology places their clients' interests first.

The church agreed to pay $1 million, while its Ensign Peak Advisers paid $4 million, to settle the SEC complaint that they failed to file forms disclosing the church's equity investments.

A financial advisor from rival Cambridge Investment Research sought more than $1 million based on his claim that an OSJ at Royal Alliance broke the firm's rules.

A case involving Moors & Cabot's explanations about its conflicts of interest from cash sweeps signals how the regulator's actions are ramping up.

Even if advisors get a disclosure removed from their records, the damage done online can be difficult to manage.

The fintech startup is mining SEC, FINRA and other data to make information on financial advisors easier for consumers to digest.

FINRA warned brokers in its latest annual report about not being fully up to speed with the client-care rule.