Compliance

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.

Co-sponsor of legislation to derail Labor Department's fiduciary proposal admits that the bill's greatest goal is to put political pressure on the administration.

The revised proposal would require brokers to disclose to clients the compensation they receive when jumping to a new firm.

Most managers have not yet realized the full potential of social media, or set corporate policy, to augment their institutional sales and marketing efforts.

Richard Ketchum voices support for SEC to move on a uniform fiduciary standard for brokers and advisors, while warning of unintended consequences from DoL's proposal.

Regulators will be paying close attention to whether advisors properly safeguard the interests of elderly clients. Here's what to watch for.

Enhanced programs will likely include financial planners. The initiative follows earlier legislation prompted by a Financial Planning investigation.

Women must remain curious, have courage and bring confidence to the workplace in order to find and ensure success, says Maureen Leary-Jago, senior global advisor at MFS Investment Management.

New rules would bog down independent advisors in 'busywork' without producing enforcement gains, Brian Hamburger argues.

The SEC is set to propose a requirement that mutual fund companies report how vulnerable their bond portfolios are to interest-rate changes.

The U.S. Supreme Court issued a decision that could have far-reaching implications for how long a retirement plan participant has to sue an employer for breach of fiduciary duty in a 401(k) plan.