Compliance

Morgan's latest hires oversaw about $575 million, On Wall Street learns exclusively.

Investors have already made bets on how President Trump's deregulation efforts will fare.

Stocks and Puerto Rican bonds are the focus of many cases among clients, advisers and firms.

Andy Sieg, head of the firm, had previously indicated that he was open to rethinking aspects of the firm's efforts to comply with the regulation.

The five-time San Antonio Spurs champion is willing to testify against his former longtime planner, according to the team's lawyer.

Even in the present deregulatory climate, the Treasury Department is pressing ahead with a rule to require advisors to screen for and report suspicious activity.

The acting head of OCIE says the commission has abandoned "wide, full-scope" scrutiny in favor of more targeted, risk-based reviews.

The majority of managers are investing in technology with the intent of streamlining operations.

Investors poured a combined $2.4 billion into the funds this year as a bet that firms will benefit from deregulation policies.

It's expected that some $300 million could pour into the new fund in its first week.