Compliance

FINRA claimed he intentionally structured 10 cash deposits totaling $50,000 in five personal bank accounts in amounts under the $10,000 currency transaction reporting threshold.

The former rep refused to comply with a FINRA investigation into allegations that he exercised influence over an elderly woman.

Depending on business mix, some advisers could see a pay cut.

If it’s undertaken, the appeal case will not be completed before Banks is scheduled to begin serving his 4-year sentence next month.

Expanding the fiduciary role of CFPs is a good thing — but the fine print is worth sweating.

Some predict the new standards will push more planners to drop their CFPs.

The rep impersonated an elderly customer in an attempt to move his retirement account from a rival institution, the regulator charged.

Advisers need to plan their nonprofit work as carefully as the rest of their business.

Regulation SP lays out the guidelines. In addition, just how many texts does a firm need to save?

OCIE plans to conduct 1,850 probes of RIAs, a 28% jump over its 2016 total, while sharply cutting those aimed at broker-dealers.

Regulations to keep bad actors out of U.S. financial markets could soon apply to RIAs.

"You're going to turn around," a federal judge instructed advisor Charles Banks, "and you're going to talk to all these people that you have caused pain for, face to face."

Jay Clayton acknowledged in testimony on Capitol Hill that it's a “very complicated issue.”

The adviser refused to provide the regulator with the documents it needed to investigate allegations that he converted funds from a bank customer.

The regulation, which has broad support among RIAs, has spurred firms to streamline policies and procedures, according to a new study.

Regulators now use deeper dives into specific areas rather than broad probes, experts say.

Even as the board seeks stricter fiduciary rules, there are concerns about loopholes on conflicts and commissions.

Custodied assets from advisers are shifting in unexpected ways, as Financial Planning’s exclusive research shows.

It allows more flexibility than some may think, according to executives from the two firms.

Even as the agency refines its approach to spurring good cybersecurity practices in advisers, its expectations aren't slackening. Here’s what to expect.