Regulation

The number of disciplinary actions rose as the regulator invested in new platforms and technology to broaden oversight.

The Securities and Exchange Commission has named Julie Riewe and Marshall Sprung as co-chiefs of the Division of Enforcement’s Asset Management Unit, a national specialized unit that focuses on misconduct by investment advisers, investment companies, and private funds.

Frustrated by a lack of response from regulators on the “ability to pay” exemption, the industry trade group says it’s going to take action this time.

Our legal expert discusses how to deal with FINRA investigation.

Preparation and communication are key to a smooth visit with FINRA.

At the recent FINRA conference, SEC Commissioner Elisse Walter endorsed advisor "gold standard."

New draft proposal is part of a House movement to reign in the legislation.

Broadridge Financial Solutions has agreed to acquire Bonaire Software Solutions, a provider of fee calculation, billing, and revenue and expense management solutions for asset managers including institutional asset managers, wealth managers, mutual funds, bank trusts, hedge funds and capital markets firms.

Mutual fund companies are facing ongoing challenges in overseeing their financial intermediary relationships as omnibus processing and the reliance on FIs continue to increase, according to a new survey by Boston Financial Data Services.

It looks like Nationwide Mutual Insurance Company will have its day in court come January 2014 to defend itself against a mutual fund lawsuit.