Compliance

Should advisers opt for better platform options or losing back-office and administrative tasks?

The lender eliminated production goals in effort to reassure regulators, lawmakers and customers after employees opened more than 2 million accounts without clients’ approval.

The bank can adapt to adjustments needed to deal with claims it opened 2 million customer accounts without authorization, according to CFO John Shrewsberry.

From hiring sprees to accelerating software launches, companies are gearing up for the significant expenses and changes wrought by the new regulation.

Managing a deluge of data analytics, adapting blockchain technologies, and providing increased data record security and transparency by regulators and investors are all issues firms will face, NICSA members say.

From hiring sprees to accelerating software launches, companies are gearing up for the significant expenses and changes wrought by the new regulation.

Gold has rallied 27% this year as the Federal Reserve held off on raising U.S. interest rates.

The public has a right to review the board’s documents, husband-and-wife planners Jeffrey and Kimberly Camarda say.

The positioning leaves the biggest speculators at odds with an increasingly skeptical analyst contingent on Wall Street.

The case is the latest related to alleged misconduct by a barred wirehouse broker who was also a nightclub owner.

The agency also proposed a rule to permit cities to create their own savings plans.

The dollar strengthened and Treasuries extended their steepest monthly loss since June 2015 amid hawkish rhetoric from Federal Reserve officials over the past two weeks.

See which independent broker-dealer boasts a compliance staff of more than 500, and which top firms have fewer than 100.

Federal Reserve Chair Janet Yellen’s speech Friday was hawkish enough for Goldman Sachs to boost the odds of a September interest-rate increase, while Pimco said there was nothing of note in her remarks.

A lawyer for the bank had argued in a federal court that the severance proposal was a confidential settlement offer that shouldn't be public.

These investment advisories paid the price for passing along performance data faked by a third-party manager.

To help identify fraudulent advertising , advisers will be required to create and maintain documents that demonstrate performance calculations or returns.

Weeks of conflicting economic reports have whipsawed money managers overseeing about $6 trillion, including Pimco and Vanguard Group.

A class of investors that includes foreign central banks and mutual funds bought a record amount at the $34 billion debt sale.

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