Compliance

The rep refused to provide the regulator with the documents it requested to investigate the allegations that he stole money from an elderly couple.

With the rule's implementation date around the corner, here’s what wealth managers should focus on in coming weeks and months.

The series of deals leading to a $20 billion investment in an upcoming infrastructure fund managed by the firm raise concerns about conflicts of interest.

Compliance may ring up some $2 billion in costs, restricting everything from research budgets to high-speed trading and dealing in wheat and oil.

The need for more sophistication in fund reporting is higher than ever.

Analysis from a Symmetry Partners research executive questions whether higher risk really leads to higher returns.

Opponents of the regulation don’t have “new evidence” to beat back a final legal challenge, says the former assistant secretary of the Department of Labor.

Market-implied wagers on a hike have been whipsawed by the political storm buffeting the White House.

One refused to cooperate with an investigation into allegations that he engaged in unauthorized trading in two customers' accounts.

Distributors on the continent are already signaling that they’ll offer a narrower range of funds as a result of MiFID II rules.