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Regulators will soon finalize their plan to establish a new leverage ratio and it is likely to be tougher than a recently implemented global standard, top officials said Thursday.
February 7 -
Lawmakers repeatedly returned to the question of whether the five agencies involved in writing the Volcker Rule can enforce it consistently across the various entities they oversee, during a House Financial Services Committee hearing featuring top regulatory officials.
February 6 -
Many wirehouse advisors had to change their compensation disclosure following an abrupt change last fall by the CFP Board.
February 6 -
The board's plans focus on aggressive growth, increased awareness of mark and regulatory impact.
February 5 -
CFP Board ads illustrate difficulties in hiring a legitimate planner; fails to address concerns about its own website.
February 4 -
Steven Cohen, who agreed to close down his SAC Capital Advisors as part of a settlement with the U.S. government, will rename the firm and add a layer of management to oversee traders as the hedge fund becomes a family office, said a person familiar with the firm.
February 3 -
This year, small banks are likely to face more scrutiny in terms of consumer products, anti-money laundering measures and compliance management, industry experts say.
February 3 -
Which group of advisors is truly subject to stricter oversight? FINRA may not be telling the whole story.
February 2 -
2013 was a great year for advisors. But with new compensation rules and industry consolidations changing the landscape, our panel of top recruiters is urging advisors to cut their best deal now
February 1 -
Most clients, even educated, wealthy ones, frequently have no idea how their advisor is paid.
February 1
