Compliance

The long-running battle by two CFPs against the board comes to an abrupt end.

A victory for the government would be a boost for prosecutors and the SEC.

A firm contest incentivized about 30 advisers to push lending products to clients and created conflicts of interest, according to officials.

Artificial intelligence is poised to bring dramatic change in the roles computers and humans play in regulatory compliance.

Mounting regulatory pressure will push firms to decrease the number of products available due to compliance risks, Cerulli Associates says in a new report.

From recommending wrong share classes to cherry-picking allocations, these are the pitfalls advisers should avoid.

A broker leaving a job didn't think the training he got from his former employer was sufficient. His old firm disagrees and wants the costs reimbursed.

The ill-timed Alibaba trades add to the hedge fund industry’s woes as some of its biggest and best-known firms lose assets amid souring investor sentiment.

As rules pile up, industry leaders are looking for ways to help advisers navigate what they say has become a regulatory labyrinth.

Mary Jo White also said that the commission lacks sufficient resources to provide oversight of investment advisers.