Compliance

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.

The firm said pretax profits for its global advisory business rose 24% from the year ago period.

Vanguard, BlackRock executives argue that regulators considering bank-like oversight of mutual funds are misreading the industry and inviting unintended consequences.

Vanguard, BlackRock executives argue that regulators considering bank-like oversight of mutual funds are misreading the industry and inviting unintended consequences.

Bryan Carnahan, a former advisor at Huntington Bank, allegedly stole nearly $170,000 from a customer's brokerage account to cover investment losses in other customers' accounts.

There are four main types of powers of attorney and older clients must be sure to have the right one in place.

The SEC has named David Grim to lead the agency’s effort to tighten mutual-fund rules.

An upcoming forum for regulators and industry professionals will discuss the SEC’s compliance oversight, cybersecurity, anti-money laundering, and approaches to supervision and sales practices.

Chairwoman re-ups support for uniform fiduciary standard for advisors and brokers, but says it will only be effective if examinations increase.

Walter Bettinger argues robos might work for "a very small percentage of people," but not for the overwhelming majority of the investing community.

Failing to arbitrate disputes that arise out of an advisor’s employment activities can result in costly penalties.