Money laundering

A recent report provides insights into the regulator's concerns, that include cybersecurity, anti-money laundering and alternative investments.

Chairman Jay Clayton and top SEC brass are putting advisors on notice. The regulator is drilling down on investor protections, while warning firms on cybersecurity and AML compliance.

Jurors in New York federal court awarded Jennifer Sharkey $563,000 in back pay and $563,000 for emotional damage.

Lies about being in contact with clients were the real reason the whisteblower was fired, according to a defendant and key witness for the bank.

A former vice president in the private wealth management group claims she was fired for investigating suspicions that a client might be involved in fraud or money laundering.

Regulations to keep bad actors out of U.S. financial markets could soon apply to RIAs.

On the heels of a record-breaking year in enforcement, the regulator takes aim at cybersecurity, anti-money laundering policies and protection for senior clients.

Even in the present deregulatory climate, the Treasury Department is pressing ahead with a rule to require advisors to screen for and report suspicious activity.