Compliance

A year ago, the firm’s more than 4,000 advisors in the United States had to manually submit each post in advance for review. Now, Raymond James Financials has automated the compliance and publishing process, to speed up communications with customers.

The 30th Annual National Investment Company Service Association Conference & Expo opens Monday, with the intent of helping fund companies learn how to be “Engaging Investors in a Hyper-Connected World.’’ Here’s an introductory look.

The Department of Justice announced that it filed a notice with the U.S. District Court for the District of Columbia to dismiss its antitrust lawsuit regarding the potential merger of Deutsche Boerse AG and NYSE Euronext.

The global effort by the U.S. government to catch American tax cheats intensified this week as France, Germany, Italy, Spain and the United Kingdom agreed to support a broad new U.S. law requiring foreign financial institutions to disclose information about the foreign bank accounts of U.S. citizens.

UBS is expanding its compliance database to include information on environmental and social risks, which will be applied to companies, prospective sourcing partners and investment clients to ferret out controversy that could impact the bank's reputation and financial performance.

Wall Street's own watchdog filed a complaint against Charles Schwab Corp., accusing the online brokerage giant of requiring customers to waive their rights to pursue certain legal action against the firm, a violation of industry rules.

Authority details its top concerns in a letter directed to the industry’s compliance officers.

NYSE Euronext said it would focus on its “standalone strategy,’’ while Deutsche Boerse declared this a ‘black day’ after the European Commission prohibited the merger of the two exchange operators.

Antitrust regulators in Europe stopped the merger of Deutsche Boerse and NYSE Euronext on Wednesday, saying the combined group would have a stranglehold of the listed European futures market and would thwart new entrants.

One senator calls the proposal not nearly tough enough.

Our legal expert explains what discretion you have with the account of a client who passes away.

Head of Americas Investment Strategy at Barclays Wealth discusses how investors can look at this year's presidential election.

FINRA has filed an enforcement complaint against David Lerner, the operator of a brokerage aimed at retail investors, claiming he misled investors when he tried to quell customer concern about an action taken against his firm for its marketing of real estate securities.

The SEC sanctioned Florida-based 1st Discount Brokerage and a former executive vice president for failing to supervise an advisor who was operating a Ponzi scheme.

The firm joins several others, including Ladenburg Thalmann, Cetera and LPL Financial, to offer subsidized FSI memberships to advisors.

Will the recent SEC alert chill the use of social media by asset management firms? Or simply put it on ice?

The former UBS trader accused of unauthorized deals that cost the Swiss bank $2.3 billion pleaded not guilty to four fraud and false accounting charges in a London court.

FINRA issues an alert warning investors to guard against a two-step process where “fraudsters” gain access to their email accounts and then instruct the firms involved to transfer money out of their brokerage accounts.

The SEC said a trader based in Latvia broke into online brokerage accounts of customers at large U.S. broker-dealers and manipulated prices in more than 100 New York Stock Exchange and Nasdaq Stock Market securities.

The Securities and Exchange Commission just took action against a trader in Latvia that hacked online brokerage accounts in the United States, costing customers $2 million.