Compliance

The SEC will want to see tailored policies and procedures if the Treasury Dept finalizes its rule requiring RIAs to set up anti-money laundering programs.

AIG affiliates were fined by a U.S. regulator for charging customers higher fees in mutual fund sales.

Voices: For smaller B-Ds, there will likely be an added cost of obtaining an unbiased assessment of the consistency, accuracy and suitability of their robo tools.

A new FINRA report warns firms they should be ready for reviews on their use of digital investment advice tools.

As head of new Office of Risk and Strategy, Peter Driscoll says his team will ramp up scrutiny.

Royal Alliance, SagePoint Financial and FSC Securities "willfully violated" securities law and breached their fiduciary duties to clients, the commission says.

The new retirement platform will support advisors who are transitioning to the fiduciary model.

The industry's leading lobbying group, SIFMA, says that the Labor Department's fiduciary proposal would result in a messy regulatory framework that could spur the SEC to restore order to the chaos.

Voices: Advisors may regret delaying their preparation for the new regulation.

All advisors should familiarize themselves with the rule's likely changes to ERISA.

BlackRock and State Street, along with more than a dozen industry participants, are urging regulators to take steps to ward off extreme market volatility.

The fixed-income trade is booming at BlackRock and other investment firms, which are capturing a greater amount of activity -- and fees -- with their ballooning credit ETF businesses.

Banks are likely to accelerate the shedding of their in-house mutual fund businesses in light of the proposed rule.

Advisors should start getting up to speed now if they want to keep their heads above water when the rule begins to be implemented later this year, experts say.

Among the measures commission officials say they're working on is a third-party examination framework.

Anthony Kelly, the new co-head of the SEC’s Enforcement Division subunit, looks to reassure CCOs.

The clearing houses are too important to fail, and the current rules governing their risk management are too lax.

Advisors' most pressing questions on the proposal get answers from SEI's head of practice management solutions.

Voices: Moving from a commission account to a fee-based account with an additional risk tolerance questionnaire does not equal sufficient Know-Your-Customer or suitability measures.

The advisor was a compulsive gambler who continued to bet in an attempt to make his clients whole, says attorney.