Compliance

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.

Some of Kelley's biggest contributions have focused on clarifying fiduciary issues related to money markets, as she's been a vocal proponent of ensuring that money market funds remain investment options for institutional and retail investors.

Public hearings begin on Aug. 10 and comments may stretch beyond four months.

Whether they like it or not, RIAs must pay careful attention to their firms' compliance practices. Here are 23 important guidelines to follow.

Federal and state examiners still see compliance failures when advisors take to social media to promote their practice.

Virginie Maisonneuve, chief investment officer for global equities at Pacific Investment Management, will be leaving after helping shutter three active stock strategies at the firm.

With supply at multi-decade lows, investors are signaling alarm as regulations intended to shore up banks and prevent a run on money-market funds exacerbate the T-bill shortfall.

In the case of the millennials, their experience with the financial sector includes the unifying themes of volatility, crisis and scandal.

Some of our favorite recent tax fraud cases.

The National Adjudicatory Council, which provides guidance to FINRA adjudicators, goes after fraudulent conduct with heightened sanctions.

Authorities allege that two self-proclaimed "licensed retirement strategists" made false claims in order to resell $4.3 million in life insurance policies to clients.