Compliance

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.

An adviser at the firm squandered the aging clients' retirement money on oil and gas investments and Puerto Rico bonds, their lawyer said.

In spite of its own compliance policies, the firm failed to get several hundred clients to sign a disclosure notice that described risks associated with inverse ETFs.

The regulator rebuked the broker for excessive trading that generated more than $666,000 in commissions and fees and resulted in $397,000 in losses.

The self-regulator is modifying its much-maligned process, addressing transparency and arbitrator qualifications, among other concerns.

NorthStar communications executive Chelsey Duncan said the firm embraced this concept with the addition of a digital marketing coordinator in January.

Organization takes the case "to put a spotlight on a bank that may have engaged in misconduct more significant than Wells Fargo's."

Firms must ensure that best interest practices are part and parcel of every investment deal.

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

FINRA chided the rep for following through on trading instructions received via email from bank employees without confirming the transactions with the customers.

Following a year of slowed deal activity, a PwC report addresses the added challenges managers face amid the developing economic, tax and regulatory agenda of the new administration.

Meanwhile, a prominent Republican congressman called on President Trump to delay the regulation's implementation.