Regulation

Regulators penalized both the independent and employee channels of Wells Fargo for failing to properly screen over 200,000 customer accounts.

The advisor allegedly solicited and received loans totaling $56,000 from two customers in violation of the firms' policies.

Regulatory approval of Eaton Vance's non-transparent ETF has its industry competitors closely studying its offering to determine how its proposal succeeded where others failed, and whether they need to develop and offer their own version.

The CFP Board’s first computer-based exam attracted over 2,100 applicants.

The National Adjudicatory Council upheld an earlier ruling finding Wedbush liable for failure to file accurate and on-time reports of customer complaints and broker registrations.

Former Convergent Chairman Steve Lockshin offers his take on events and issues surrounding the suicide of his friend, ex-Convergent CEO David Zier.

Two advisors have been hit with fraud charges for allegedly misleading clients about a hedge fund managed by an investment novice and debt collector.

A trio of top custodial executives discussing big trends for the RIA sector downplayed the term -- at least as a marketing advantage -- during a panel this week at the MarketCounsel summit in Las Vegas.

Wealth managers called into active duty have a delicate balancing act between serving firm and country.

Fund managers need to focus on more than the strategies they intend to execute. They must also structure their funds and organizations in ways that address both increasing regulation and investors' concerns about the safekeeping of assets.