Regulation and compliance
Regulation and compliance
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The IBD trade group launched a public campaign after more than 80 cases this year alleging inadequate disclosure of mutual fund fees and compensation.
September 5 -
Planners' fears of violating privacy stops them from taking action. If implemented, a new model act might help.
September 4 -
Advisors may need to alert clients as to when these checks will be taxable.
September 4 -
The SEC published more than 1,300 pages of regulatory information. Here's what advisors need to know.
September 3 -
The first-of-its-kind product is cleared and features the same creation-and-redemption process common with traditional offerings.
September 3 -
The IBD failed to adequately disclose conflicts of interest to clients related to receiving $10.8 million from mutual funds and its clearing broker, the SEC says.
August 30 -
Due to a 2010 FINRA rule change the answer is — with difficulty.
August 30 -
While the agency has publicly detailed key focus areas, some planners still don't know how it evaluates firms.
August 28 -
Judging from what promoters of insurance products can say in their marketing materials, not so well, writes Ethan Schwartz.
August 28 -
The insurgents won seats allotted to represent small and large firms.
August 21 -
To stand apart from broker-dealers, advisors may not need tougher rules, but smarter marketing.
August 16 -
IFS has notified regulators about the alleged illegal trades, which sources say cost the firm more than $10 million.
August 15 -
Brokerage shops get to weigh in later this month on challengers promising reforms at the industry regulator.
August 14 -
The regulator postponed until October a ruling on whether listing rules can change to allow two cryptocurrency funds to start trading.
August 13 -
Critics reject the notion that disclosure alone is sufficient for reigning in conflicts — but the charges against Commonwealth have put BDs on notice.
August 12 -
Reports of the death of fiduciary differentiation have been greatly exaggerated, contends fiduciary advocate Knut Rostad.
August 12 -
Prosecutors said Robert Shapiro used investor money for his $6.7 million home and $3.1 million for chartering planes and for personal travel.
August 9 -
A barred and terminated former Securities America advisor’s conduct was “appalling, reprehensible and evil,” according to a federal judge.
August 8 -
An RIA owner accused the custodian of aiding his chief compliance in setting up a competing firm.
August 7 -
The panel has had 13 public meetings since the Massachusetts senator’s last appearance, in May.
August 6

















