With employees working remotely, firms may need to adapt their procedures to deal with heightened fraud risks outside of company systems.

The executive shuffle at the company continues as Credit Suisse America’s Paula Dominick is hired to replace Mike Roemer as chief compliance officer. It also hired or promoted four line-of-business chief risk officers and an enterprise testing leader.

The U.S. Small Business Administration has posted rules about how businesses who have been turned down for forgiveness of their Paycheck Protection Program loans can appeal the decision.

A second-term Trump administration would likely continue its deregulatory efforts, focus on Fannie Mae and Freddie Mac's exit from conservatorship, and seek to facilitate fintech participation in the banking system.

The firm will also pay a penalty and offer to buy back variable annuities the former broker sold to 21 other investors.

During rapid growth, the firm allegedly failed to detect a cascade of red flags.

Ben Meng’s downfall raises questions about who would succeed him in a job that attracts so much unwelcome attention, not to mention navigate a pandemic.

Industry groups warn of creeping fiduciary obligations, while consumer advocates see it as a setback for investor protections

The change bars money managers from using some types of business entities to take advantage of an exemption to rules laid out in the 2017 tax law.

Amid coronavirus-imposed lockdowns, the firm will retool and retrain approximately 3,000 young advisors.

If planners can navigate data security and compliance concerns, the app can connect them with a huge new audience.

Hilltop was fined a total of $475,000, with $100,000 pertaining to violations of municipal securities rules.

The firm allegedly didn't disclose its parent company paid a teacher union entity $10,000 a month “for its exclusive endorsement” as its preferred financial services partner, according to the regulator.

The party’s draft party platform criticizes lax standards implemented by the Trump administration, and vows to strengthen Social Security.

The current proposal “would lead to worse outcomes for plan participants as plan sponsors shied away from assessing ESG risks in selecting investments,” the research firm says.

Venturing into the new social media platform, planners are encountering a deluge of misinformation, day trading and get-rich-quick schemes.

This is the latest case to involve improperly allocating bonds meant for retail customers and instead selling them to other market participants.

“The primary drawback of fewer hedge fund filings is lack of clarity around crowding risk,” strategists from the firm write.

A weaker U.S. dollar and a rollback of some of the 2017 tax cuts are just two possibilities, experts say.

The Tax Cuts and Jobs Act created opportunity zones as an economic development tool to stimulate investments in distressed communities.