Compliance

The move is good news for money managers looking to tap into emerging stocks and equities in Europe after run-ups in both over the past year.

Embracing fiduciary standards, managing client risk and integrating technology are essential steps for every RIA to undertake.

“It starts out small,” the advisor told his compliance officer, authorities say. “You think you are going to pay it back.”

Avoiding the pitfalls of managing client finances can be challenging. Here's how some advisers fared — some successfully, others not so much.

Such wagers can only be settled in Bitcoin, on the BitMEX, which offers the ability to trade certain cryptocurrency derivatives with "up to 100x leverage."

Investors snapped up the metal as a store of value amid concern that the president's fiscal policies will bloat government debt.

Even a well-intentioned compliance manual can draw the ire of regulators.

The SEC released a letter outlining where the most common deficiencies occur.

An adviser at the firm squandered the aging clients' retirement money on oil and gas investments and Puerto Rico bonds, their lawyer said.

In spite of its own compliance policies, the firm failed to get several hundred clients to sign a disclosure notice that described risks associated with inverse ETFs.