Compliance

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.

The industry's main lobbying group issued its own fiduciary proposal in an attempt to stave off efforts by the Labor Department to impose a rule separate from the SEC's efforts.

A federal court ordered an investment advisor to pay more than $1 million in fines regarding two fraud cases.

Incomplete BrokerCheck reports give investors a false sense of security, critics say; Some Google searches do better.

Federal Reserve Chair Janet Yellen and other U.S. officials should push global regulators away from designating individual asset managers and investment funds systemically important, ICI said.

There's a cloud over the J.P. Morgan unit where pensions are managed: The SEC is well along in an investigation into conflicts of interest in the bank's wealth-management unit, whose products include individual retirement accounts.

The agency says the ads are designed to inform the investing public of the free tool.

Vanguard has joined the fight against a plan by the Financial Stability Board to identify too-big-to-fail investment funds, calling its proposal deeply flawed.

A top lawyer for the industry regulator says it would be happy to help after a congressman calls on the agency to assume advisor exams.

"Advisors that know their clients can smell when something's up," says regulatory and compliance consultant Daniel Bernstein.

Kirsten Flynn Hawkins stole roughly $500,000 from a longtime customer over 33 months, starting shortly after he suffered a debilitating stroke in July 2011.