Compliance

Consultants are turning to technology as the SEC ramps up RIA exams.

Consultants are turning to technology as the SEC ramps up RIA exams.

The newly approved rule could shave months off the process of getting active ETFs on the market.

The company’s survival may depend on a continuing security awareness training program.

Index funds often benefit from a low-cost halo. They don't all deserve to bask in that glow.

CEO Paul Reilly says the firm has hired new compliance professionals and is also working with outside attorneys in order to prepare for new regulations.

FINRA cracks down after $1.3M theft from 89-year-old client.

Two firms were fined over $100,000 for not disclosing nearly $5M in loans to clients.

Firms and brokers would contribute to a pool to compensate investors who were defrauded but are unable to collect, according to one recommendation.

As the industry endures market volatility and the onslaught of federal regulations, the search for cost reductions has become vital.

JPMorgan Chase, which acquired the company in 2008, is still trying to get insurers to foot part of the bill.

The party supports a financial transaction tax to rein in "excessive speculation" and fast traders that have "threatened financial markets."

A new asset management record for Vanguard is another reminder to the mutual fund industry that cost is fast becoming the determining factor to an offering’s success.

In their zeal to comply with the Labor Department's fiduciary rule, firms could find themselves in regulatory hot water for reverse churning.

"His lies, piled on one after another, have led to today’s substantial and serious charges," U.S. Attorney Peter Neronha said.

Global assets in the funds have surged 37% this year and prices are near a two-year high.

Backed by the considerable resources of Manulife Financial, Hancock wants to be a player in an altered IBD marketplace.

The firm settled charges by Vermont securities regulators connected to a ski resort at the center of an alleged $200 million fraud. A related lawsuit filed by an SEC-appointed receiver is pending.

Plus, why matching clients with brokers of their race, religion or ethnicity might not meet the legal threshold for affinity fraud.

The firm is of two minds on the issue: It can hire whomever it wants from competitors, but many of its own advisers are off-limits.