Compliance

Complacency is the latest threat facing federal employees.

Debra Ann Paton worked in the brokerage unit of First Tennessee Bank in Johnson City, Tenn. She was expelled for allegedly filing phony expense reports.

Advisors should check to see if both their old firm and new affiliated firm have signed on to the industry protocol for taking client information.

SEC Commissioner Kara Stein is worried that mutual fund sector is moving beyond the reach of the regulators.

Money funds are finding new ways to get the securities they need, opening a door for other institutions to step into roles once dominated by banks.

Two former Goldman Sachs Group Inc. bankers are starting a hedge fund to profit from a void in bank lending.

With the Federal Reserve poised to unleash its first interest rate increase in almost a decade there's a debate among investors about whether the past is any guide to how markets will react to a monetary tightening.

A FINRA arbitration panel ruled in Merrill's favor and against the former wirehouse advisor, although one arbitrator dissented in awarding the firm about $200,000 in attorney's fees.

The three were expelled for stealing from their employer in different ways, including kiting checks and claiming to make ATM withdrawals they never really made.

We have listened to numerous warnings about cyber threats and data breaches. We've been urged to secure networks and prepare response plans in anticipation of an attack, but as we've seen countless times in the news, some businesses have learned the hard way.

Advisors must determine what kind of help they need at the outset.

Advisors who are thinking of starting their own firms need to understand that compliance is as essential to their business as any other aspect.

The lobby group's proposal calls for more disclosure, but does not mandate all material facts be revealed, or that the client truly grasp the pertinent issues, writes Ron Rhoades.

Crafting messaging goals for fund providers in an era of strict regulation can be stressful. But communications firm Blu Giant says there are ways to develop strategies, even for social media, that can keep a provider from drowning in too much information or sinking under regulatory fines.

Burdensome regulation costs and the prospect of potentially even more scrutiny continues to frustrate asset managers, but new management strategies and the continued growth of ETFs have proven to be bright spots for the industry.

The world's biggest investment managers, from BlackRock to Vanguard, have a simple message for Mark Carney, head of the Financial Stability Board: Stop trying to regulate us like banks.

Cloud-enabled content management solutions centralize collateral creation. Here's an explanation of why it can help your firm reduce technology costs.

Industry leaders believe the plan isn't ready.

SEC sends contradictory message, critics say, urging the public's vigilance yet displaying leniency to a deceitful advisor.

Asset managers groaning under the weight of regulatory requirements scrambled to learn more about recent SEC proposals that would increase their data collection and reporting requirements about their holdings.