Regulation and compliance
Regulation and compliance
-
The SEC and FINRA have launched groups focused on better understanding this growing area of the industry.
April 29 -
An advisor was terminated after accepting money from a brother, who was also a client. Is such a loan allowed?
April 29 -
The allegation was laid out in an SEC order, which hit a U.S. unit of the firm with a $500,000 penalty.
April 26 -
Previous Republican and Democratic presidents have declined to assert authority over independent agencies, partly because the legal issue isn’t simple.
April 25 -
Increased captive insurance coverage due to expanded business in 2018 was a primary driver of a three-year high in regulatory spending, the firm says.
April 24 -
The earlier they begin planning, the easier it'll be to avoid a big tax hit.
April 23 -
The fintech company, which was forced to rebrand its cash management product last year after misleading marketing caused a backlash, is seeking a national bank charter.
April 22 -
The proposed rule will need substantial revisions before it wins the support of the commission's sole Democrat.
April 22 -
Frederick McDonald Jr. is accused of failing to disclose key risk factors regarding the complex world of the cannabis manufacturing industry.
April 18 -
The change will boost the firm’s “ability to reach a dramatically larger audience,” said CEO Stephen Schwarzman.
April 18 -
Capital gains tax rates are not just taxed at a single, more favorable, rate anymore.
April 17 -
While seeking input on how to better nationally integrate operations, the FPA has scrapped the idea of wrapping all chapters into a single legal entity — for now.
April 17 -
The move suggests that the SEC’s proposed Regulation Best Interest isn’t strong enough for some.
April 16 -
The regulator is on high alert as more than 10% of new launches last year targeted a theme.
April 15 -
PR campaigns won’t be enough to salvage the bank’s reputation after a series of scandals. Instead, it should look into adopting a new name, among other crucial steps.
April 10 -
FINRA, Morningstar and Nasdaq have already migrated to the cloud. Should RIAs follow?
April 9 -
Audit volume is up but compliance issues are down — with cybersecurity as the wild card.
April 9 -
Andreessen Horowitz — one of the richest and most famous firms on Sand Hill Road — is giving up its VC designation.
April 8 -
Having ‘fessed up to improper 12b-1 fee disclosures, dually registered advisors might still be excluded by FINRA.
April 8 -
Since Wells Fargo’s phony-accounts scandal broke in 2016, the bank has appeared contrite in public. In private, it’s a different story.
April 7



















