Compliance

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

The regulator reprimanded Citizens’ retail brokerage for not amending reps' Forms U4 and U5 within 30 days of learning of complaints.

Two prominent firms recently struck partnerships with tech providers, in part to prepare for the Department of Labor's fiduciary rule.

A recent court case demonstrates how the criminal liability has dramatically increased, even in the absence of a monetary benefit for the tipper.

The White House has made fiduciary part of investors' vocabulary.

Competition is forcing fund companies to deliver "outperformance to their clients in new and innovative ways," says ACSI Funds CEO Phil Bak.

Markets are starting to shift their attention away from growth-supportive tax policies.

The Financial Stability Board recommended that regulators bolster oversight of exchange-traded, mutual and other funds.

Coding and other billing system errors were to blame, according to the regulator.

FINRA accused the rep of "structuring" transactions by making cash deposits into her personal savings account in amounts under the currency transaction reporting threshold of $10,000.

The threshold would mark an end to a three-decade bond bull market, according to billionaire bond manager Bill Gross.

Large mutual, pension and hedge funds are chasing better returns in rallying U.S. stock markets thanks to President-elect Donald Trump's pro-growth policies.

Though some say the rule's future is in doubt, the firm is going ahead with sweeping changes it hopes will make its advisers more competitive.

The wirehouse alleges two arbitrators failed to disclose key information about their professional and personal histories.

The regulator plans to ramp up scrutiny of bad brokers and electronic communications, among other new measures.

A deeper understanding of how to deploy robo technology is needed if a firm plans on offering a digital institutional solution, says Envestnet CEO Jud Bergman.

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The biggest product in that category suffered over $161 million in outflows on Wednesday; its largest one-day withdrawal on record.

Black employees at the firm say lucrative client accounts were often steered toward financial advisers who weren’t black.

While clients have only pulled a net 2% of assets so far,some have predicted the industry would shrink by roughly a quarter over the next year.