Compliance

The investor received 15 months in prison after pleading guilty to wire fraud.

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.

Learn which occasions mandate disclosure. Also, is political activity allowable at the office?

A FINRA arbitration panel dismissed the firm's claims but charged the broker more than $11,000.

The consequences of the Fed's pullback extend well beyond the credit market.

The regulator not only aims to stiffen penalties against bad actors, but also the firms that hire them.

The wirehouse will offer commission-based retirement accounts under limited circumstances.

Regulatory direction on mobile communication shows why advisers need to be careful about hyperlinking information.

After a decade at the SEC, she joined global law firm Ropes & Gray, buttressing the firm's regulatory and ETF capabilities.

These 10 leaders transformed their organizations to face the fund industry's biggest challenges.

Regulators have revealed what kind of issues advisors must address if faced with a review.