Compliance

As the role and responsibilities of compliance officers have grown, so has the need to ensure that those employees can effectively communicate with the rest of the bank.

At Janet Yellen's first appearance on Capitol Hill as the head of the Federal Reserve Board, the country's top central banker did little to depart from her predecessor's views on key issues, often cautiously echoing his message from the past eight years.

The censure decisions are the result of reviews by the Board's Disciplinary and Ethics Commission, which meets three times a year.

A former head of commercial real estate at Wilmington Trust was charged with bank fraud, bribery and money laundering, the Office of the Special Inspector General for the Troubled Asset Relief Program announced Friday.

From suitability and complex products to cyber-security and data integrity, where do broker-dealers start? Here's an overview of some of the areas that FINRA or SEC examinations will likely focus on at firms in the coming year.

Regulators will soon finalize their plan to establish a new leverage ratio and it is likely to be tougher than a recently implemented global standard, top officials said Thursday.

Lawmakers repeatedly returned to the question of whether the five agencies involved in writing the Volcker Rule can enforce it consistently across the various entities they oversee, during a House Financial Services Committee hearing featuring top regulatory officials.

Many wirehouse advisors had to change their compensation disclosure following an abrupt change last fall by the CFP Board.

The board's plans focus on aggressive growth, increased awareness of mark and regulatory impact.

CFP Board ads illustrate difficulties in hiring a legitimate planner; fails to address concerns about its own website.

Steven Cohen, who agreed to close down his SAC Capital Advisors as part of a settlement with the U.S. government, will rename the firm and add a layer of management to oversee traders as the hedge fund becomes a family office, said a person familiar with the firm.

This year, small banks are likely to face more scrutiny in terms of consumer products, anti-money laundering measures and compliance management, industry experts say.

Which group of advisors is truly subject to stricter oversight? FINRA may not be telling the whole story.

2013 was a great year for advisors. But with new compensation rules and industry consolidations changing the landscape, our panel of top recruiters is urging advisors to cut their best deal now

Most clients, even educated, wealthy ones, frequently have no idea how their advisor is paid.

Readers asked if a branch manager is allowed to telecommute. Alan J. Foxman has the answer.

With FINRA likely to impose some kind of compensation disclosure rule this year, advisors need to think about how best to explain how they get paid to their clients.

With hedge fund advertising on the way, the impact on the industry and advisors remains unknown.

The CFP Board plans to show off new ads for its extended Let's Make a Plan publicity campaign.

FSI President and CEO Dale Brown would rather see a consultative approach from the regulators on minor missteps, or what he calls the "administrative foot faults."