Compliance

John helped found the coalition between the board, NAPFA and the FPA.

The rep took more than $1,500 from the bank's cash drawer over a three-month period beginning on New Year's Eve last year, FINRA claimed.

The violations ranged from the improper reuse of signed customer forms to the execution of discretionary transactions without written authorization.

"This is a challenging time for the firm with the DoL rule," CEO Paul Reilly said.

The move will streamline investigations and standardize sanctions, the regulator says.

The new executive will lead a team counseling advisers on how to comply with the DOL rule.

When and how are former employers allowed to file? Attorney and compliance expert Alan J. Foxman explains.

Are the measures you're taking enough? Compliance expert Alan J. Foxman explains.

The agency plans to split the award between just two people who reported the bank’s product-pushing tactics.

FINRA claimed he intentionally structured 10 cash deposits totaling $50,000 in five personal bank accounts in amounts under the $10,000 currency transaction reporting threshold.

The former rep refused to comply with a FINRA investigation into allegations that he exercised influence over an elderly woman.

Depending on business mix, some advisers could see a pay cut.

If it’s undertaken, the appeal case will not be completed before Banks is scheduled to begin serving his 4-year sentence next month.

Expanding the fiduciary role of CFPs is a good thing — but the fine print is worth sweating.

Some predict the new standards will push more planners to drop their CFPs.

The rep impersonated an elderly customer in an attempt to move his retirement account from a rival institution, the regulator charged.

Advisers need to plan their nonprofit work as carefully as the rest of their business.

Regulation SP lays out the guidelines. In addition, just how many texts does a firm need to save?

OCIE plans to conduct 1,850 probes of RIAs, a 28% jump over its 2016 total, while sharply cutting those aimed at broker-dealers.

Regulations to keep bad actors out of U.S. financial markets could soon apply to RIAs.