Law and regulation

The strong winds of compliance are sweeping over an increasingly regulated advisory landscape. Here's what advisors need to know.

Depending on what is permissible under the Labor Department's forthcoming rule, "there will have to be adjustments on the part of the advisor and on the part of the firm," CEO Jim Cracchiolo says.

Managers are lacking in everything from entitlements, to data control, to network defense and lastly, people do not understand their risk.

Regulators have placed greater emphasis on ensuring firms better understand and manage their own liquidity risk.

The bond market, which has seen a bit of a rally in the 10-year space due to demands associated with a flight to quality, will inevitably continue to see downward pressure

Rather than just one area of focus, funds and their boards are facing an increasingly active SEC in a number of significant areas.

The lawsuit stems from the conflicting demands placed on advisors who are expected to cross-sell banking products.

Regulator’s surveillance director says watchdog would review broker-dealers who implement automated advice, to determine if they properly assessed client risk tolerance.

To protect themselves from the industry self-regulator's scrutiny of these products, firms should take these actions.

It’s challenging to afford tech upgrades and meet compliance demands at the same time. Here’s how firms are doing the best of both.