Compliance

An advisor was terminated after accepting money from a brother, who was also a client. Is such a loan allowed?

Increased captive insurance coverage due to expanded business in 2018 was a primary driver of a three-year high in regulatory spending, the firm says.

Having ‘fessed up to improper 12b-1 fee disclosures, dually registered advisors might still be excluded by FINRA.

Since Wells Fargo’s phony-accounts scandal broke in 2016, the bank has appeared contrite in public. In private, it’s a different story.

The Ladenburg IBD failed to spot the red flags of a barred ex-advisor who later pleaded guilty to fraud, former clients say.

Experts caution advisors to take document requests seriously. Also, it doesn't hurt to set a collaborative tone at the very beginning.

The bank's decision to select its general counsel as successor to Tim Sloan, albeit on a temporary basis, focused attention on its frayed relationships with the Federal Reserve and the OCC.

The firm’s founder “knowingly engaged in a multi-year scheme to mask the poor performance of one of the funds’ largest investments,” the SEC alleged.

The increased scrutiny focuses on the algorithms at the heart of automated investment decisions.

Even as Nevada, Maryland and New Jersey press ahead with their own proposals, the IAA seeks exemption for SEC-registered advisors.

Not knowing a FINRA rule can’t save an advisor from statutory disqualification.

The IBD is one of three dozen firms the regulator has accused of failing to provide sales-charge waivers to eligible retirement plans and charities since 2015.

Firms can expect scrutiny of their compliance with the regulator's Custody Rule, compensation and account placement.

It's the first regulatory ding for the influential advisor and entrepreneur in almost 15 years.

The No. 1 IBD plans to offer training and education and team up with reps on outreach to officials.

Clients have received a combined $3.7 million in settlements involving two barred former reps of the IBD set to be acquired by Atria Wealth Solutions.

Two advisors who joined Alex. Brown after the Deutsche Bank acquisition in 2016 seek to void the FINRA panel's arbitration decision in a court challenge.

All 83,000 CFPs certification information is now published via the same technology that underlies fast-proliferating cryptocurrencies.

Firms are seeking these three specialties.

To win at cybersecurity, base your strategy on the way you are already serving clients.