Compliance

Gold futures may see their first monthly gain since September as worries over President Donald Trump's trade policy outweighs the threat of rate hikes.

The regulator was operating with three of five commissioners before Chairwoman Mary Jo White left.

The fiduciary rule is just one of the pressures affecting the fund industry, which is why disruption is the theme of the organization's annual Strategic Leadership Forum.

Michael J. Breton admitted to using master accounts from Fidelity and Schwab to take winning investments for himself, while giving clients the losers, the Department of Justice says.

The settlement comes two weeks after Citigroup resolved similar charges with the New York Attorney General's office.

For the first time since 2008, a commission will propose long-awaited changes to the Standards of Professional Conduct. Areas under review include code of ethics and planning practice standards.

The firm is preparing for the fiduciary rule and contesting a lawsuit alleging that Raymond James allowed a $350 million fraud to be perpetuated.

The bank has made no secret that it planned to put more pressure on vendors.

A revenue boost for the firm's asset-management unit is key and could play a role in raising capital that's been eroded by misconduct charges.

The industry will experience an acceleration of the technology as firms meet data challenges, says Todd Moyer, an executive vice president at Confluence.