Compliance

Compliance experts stress the importance of working out a game plan for how to handle an exam before the feds come knocking.

The two IBDs have agreed to pay restitution in one of the largest securities fraud cases in the advisor’s home state.

The bank sometimes ignored the advice of its own diligence vendors in packaging and selling loans.

After a federal appeals court strikes down the fiduciary rule, a legal path forward seems uncertain, but the regulation has already made its mark.

Merrill Lynch, UBS and others made considerable alterations to policies and procedures in order to be compliant with the Labor Department regulation.

Ross Gerber says he left the firm to avoid its strict oversight of his press interviews and social media.

The $11 billion hedge fund is accused of operating like a “boys’ club” where women were paid less than their male counterparts.

While some are mainstays, there are a few new ones to add to the list this year.

The agency is using alternatives to enforcement actions such as targeted exams, deficiency letters and a self-reporting initiative.

Pinnacle Investments tapped Ami Forte despite her ongoing legal struggles with her former firm and Home Shopping Network founder Roy Speer’s estate.

Funds that experienced poor performance and registered investment companies with little management experience are among those that may be under scrutiny.

From inappropriate touching to belittling comments, women advisors confront workplace environments that are far from welcoming.

FINRA accused the advisor of unlawfully "structuring" a total of $77,560 by depositing cash into his bank accounts in amounts just below the $10,000 reporting threshold.

The commission is visiting far more advisors than just two years ago.

Religious groups threaten to withdraw shareholder proposal on the bank’s decision.

Form U4s and U5s don’t always match up, but it’s still the advisor’s responsibility to be proactive, writes compliance expert Alan J. Foxman.

The second-largest independent broker-dealer overcharged nearly 1,800 retail retirement accounts, the regulator says.

The rep borrowed $528,000 from a SunTrust client without the bank’s prior written approval, FINRA alleged.

Commission officials put the industry on notice about self-reporting: financial advisors must comply or face harsh punishments.

Compliance expert Alan J. Foxman explains why a 1035 exchange might trigger increased scrutiny.