Compliance

‘Hey, you, get off of my cloud.’ What wealth managers should know about the risk-reward of cybersecurity.

Gold futures may see their first monthly gain since September as worries over President Donald Trump's trade policy outweighs the threat of rate hikes.

The regulator was operating with three of five commissioners before Chairwoman Mary Jo White left.

The fiduciary rule is just one of the pressures affecting the fund industry, which is why disruption is the theme of the organization's annual Strategic Leadership Forum.

Michael J. Breton admitted to using master accounts from Fidelity and Schwab to take winning investments for himself, while giving clients the losers, the Department of Justice says.

The settlement comes two weeks after Citigroup resolved similar charges with the New York Attorney General's office.

For the first time since 2008, a commission will propose long-awaited changes to the Standards of Professional Conduct. Areas under review include code of ethics and planning practice standards.

The firm is preparing for the fiduciary rule and contesting a lawsuit alleging that Raymond James allowed a $350 million fraud to be perpetuated.

The bank has made no secret that it planned to put more pressure on vendors.

A revenue boost for the firm's asset-management unit is key and could play a role in raising capital that's been eroded by misconduct charges.

The industry will experience an acceleration of the technology as firms meet data challenges, says Todd Moyer, an executive vice president at Confluence.

The regulator reprimanded Citizens’ retail brokerage for not amending reps' Forms U4 and U5 within 30 days of learning of complaints.

Two prominent firms recently struck partnerships with tech providers, in part to prepare for the Department of Labor's fiduciary rule.

A recent court case demonstrates how the criminal liability has dramatically increased, even in the absence of a monetary benefit for the tipper.

The White House has made fiduciary part of investors' vocabulary.

Competition is forcing fund companies to deliver "outperformance to their clients in new and innovative ways," says ACSI Funds CEO Phil Bak.

Markets are starting to shift their attention away from growth-supportive tax policies.

The Financial Stability Board recommended that regulators bolster oversight of exchange-traded, mutual and other funds.

Coding and other billing system errors were to blame, according to the regulator.

FINRA accused the rep of "structuring" transactions by making cash deposits into her personal savings account in amounts under the currency transaction reporting threshold of $10,000.