Compliance

Investors poured a combined $2.4 billion into the funds this year as a bet that firms will benefit from deregulation policies.

It's expected that some $300 million could pour into the new fund in its first week.

The transactions cost the client $575,000 in fees and lost dividend payments, according to FINRA.

After investing millions in new platforms and preparing thousands of advisers, executives say they've come too far to reverse course.

If rule isn’t scaled back, the lower tier of advisers has a rough road ahead. Their “future isn’t what it was in the past.”

It’s not just about consumer advocates and advisers; there’s another side to the issue that’s not getting the attention it deserves.

The firm lowered its online retail trade commission from $6.95 to $4.95 about 10 hours after Fidelity announced similar reductions.

Too often, the agency overlooks the true impact of its policies, according to commission's investor advocate.

The Northern Lights funds exclude companies that clash with their religious wrappers.

Morgan Stanley is in “advanced discussions” with the IRS to resolve any client tax underpayments, according to an SEC filing.

If employees are not properly trained, no amount of spending can prevent a breach, according to cybersecurity expert Jonathan Hard.

Andy Sieg, head of the firm, says that "operational changes" are possible if the rule is delayed or overturned.

The move is good news for money managers looking to tap into emerging stocks and equities in Europe after run-ups in both over the past year.

Embracing fiduciary standards, managing client risk and integrating technology are essential steps for every RIA to undertake.

“It starts out small,” the advisor told his compliance officer, authorities say. “You think you are going to pay it back.”

Avoiding the pitfalls of managing client finances can be challenging. Here's how some advisers fared — some successfully, others not so much.

Such wagers can only be settled in Bitcoin, on the BitMEX, which offers the ability to trade certain cryptocurrency derivatives with "up to 100x leverage."

Investors snapped up the metal as a store of value amid concern that the president's fiscal policies will bloat government debt.

Even a well-intentioned compliance manual can draw the ire of regulators.

The SEC released a letter outlining where the most common deficiencies occur.