Compliance

The cases stem from the investment advice given by a now barred broker, who is accused of soliciting funds for a Miami Beach nightclub he owned.

Robert Cook said wealth management firms "must do their part."

The truth is, many investors would be horrified to learn the true extent of the fees they pay.

With the Labor Department and SEC signaling further potential changes in the regulatory framework, here's what advisers need to know now.

Leading RIA custodian is warning that BIC disclosures, legal liability in second wave of DoL rule could be devastating for small advisers.

Advisers may think their firm’s credibility stems from a big number. That’s not to say they should misrepresent their assets under management, Michael Kitces writes.

Experts stress that advisers are on the frontlines in detecting when senior clients suffer from diminished capacity or fall victim to abuse.

They seek a refund and damages after they said the firm directed them to its Thinkorswim website, according to a FINRA arbitration filing.

The challenges of new regulations may actually allow independent firms to grow and thrive—particularly those which embrace these four advice-centric features.

The wirehouse had held back on finalizing some aspects of its fiduciary implementation plan until the rule's fate was clearer.

The investor received 15 months in prison after pleading guilty to wire fraud.

The rep refused to provide the regulator with the documents it requested to investigate the allegations that he stole money from an elderly couple.

With the rule's implementation date around the corner, here’s what wealth managers should focus on in coming weeks and months.

The series of deals leading to a $20 billion investment in an upcoming infrastructure fund managed by the firm raise concerns about conflicts of interest.

Compliance may ring up some $2 billion in costs, restricting everything from research budgets to high-speed trading and dealing in wheat and oil.

The need for more sophistication in fund reporting is higher than ever.

Analysis from a Symmetry Partners research executive questions whether higher risk really leads to higher returns.

Opponents of the regulation don’t have “new evidence” to beat back a final legal challenge, says the former assistant secretary of the Department of Labor.

Market-implied wagers on a hike have been whipsawed by the political storm buffeting the White House.

One refused to cooperate with an investigation into allegations that he engaged in unauthorized trading in two customers' accounts.