Compliance

Holding special events and activities for clients can strengthen relationships with wealthy individuals in your business, as long as advisors keep within compliance.

The Obama administration on Tuesday finalized new regulations designed to crack down on high-cost loans to members of the military.

The SEC, not the Department of Labor, should "be driving this train," says SIFMA CEO Ken Bentsen.

An SEC compliance official says it's not a good idea for firms to "go in and very narrowly answer the questions, [not] volunteer anything, particularly if you're not trying to keep something from our attention."

A new study breaks down the compliance challenges advisors are most worried about and what they're doing about it.

A senior Labor Department official says his team is amenable to tweaks in the proposed rules so long as the fiduciary relationship is formalized with the client.

Regulators say that as threats continue to mount, they are expecting more formal policies and procedures from the firms they examine.

Even as a first step for clients seeking information on advisors, BrokerCheck is under scrutiny by advocacy groups.

Regulators have cracked down on LPL advisors in Massachusetts for using terms like "Retirement Specialist" and "Retirement Income Planning Specialist" -- while its planners use them elsewhere.

Head of industry group lobbying against the Labor Department's proposal is hopeful that the final regulation will address compliance objections and expand permissible transactions.

Advisors failed to win FINRA arbitration case for compensatory damages in excess of $5 million for a number of grievances.

A man accused of being part of an insider-trading scheme, and whose alleged co-conspirators include an ex-Morgan Stanley broker, will avoid paying a fine in settle SEC claims.

Those looking for easy answers from a government report about what caused recent volatility in the Treasury markets — including whether regulation is to blame — were likely disappointed.

White House reiterates support for controversial fiduciary proposal, outlines new initiatives to expand access to retirement savings plans.

The brokerage wants a judge to stop the former employee from claiming she remains employed by the firm, and from disclosing proprietary information on Facebook and other social media.

A private client banker with J.P. Morgan Chase allegedly took $200 from a customer's wallet; and a personal banker from Wells Fargo Bank allegedly endorsed a check made payable to a client and deposited it into her personal account.

Paul Reilly calls for more cooperation between regulators and the industry.

Asset management trade group appeals for restraint from U.S. and foreign regulators evaluating firms for designation as systemically important institutions.

Asset management trade group appeals for restraint from U.S. and foreign regulators evaluating firms for designation as systemically important institutions.

Rule-making at the SEC went from looking at information to be viewed by potential and current investors to collecting large chunks of data to be loaded in some future database and processed by analytics software.