Compliance

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

Distributors on the continent are already signaling that they’ll offer a narrower range of funds as a result of MiFID II rules.

Learn which occasions mandate disclosure. Also, is political activity allowable at the office?

A FINRA arbitration panel dismissed the firm's claims but charged the broker more than $11,000.

The consequences of the Fed's pullback extend well beyond the credit market.

The regulator not only aims to stiffen penalties against bad actors, but also the firms that hire them.

The wirehouse will offer commission-based retirement accounts under limited circumstances.

Regulatory direction on mobile communication shows why advisers need to be careful about hyperlinking information.

After a decade at the SEC, she joined global law firm Ropes & Gray, buttressing the firm's regulatory and ETF capabilities.

These 10 leaders transformed their organizations to face the fund industry's biggest challenges.

Regulators have revealed what kind of issues advisors must address if faced with a review.

The SEC could continue cracking down on brokers and advisers, but some see Clayton’s leadership taking a more business-friendly tack.

Three firms have fired the broker, whose former clients have won $494,000 in settlements.

Despite confusion over the rule's fate, ERISA attorney Fred Reish warns advisors it's likely to go into effect without significant changes.

The Broker Protocol is just the first step. Those entering the fiduciary world still have to proceed with caution.

Alexander Acosta must reckon with a June 9 deadline amid a tense political debate dividing the industry.

The firm's Private Client Group saw pretax profits drop to $29 million from $83 million for the year-ago period.

The Labor Department's own rule-making process may be presenting hurdles to completely rescinding the regulation.

For the 33rd consecutive month through December, investors withdrew money from active managers. Last year, passively funds attracted almost $505 billion.

Not only are traders worried about tightening monetary policies from the Fed, but also the Trump administration’s struggle to enact pro-growth policies.