Regulation and compliance
Regulation and compliance
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IBDs and regional firms are making the biggest changes, but RIAs have room for growth as well.
April 2 -
She'll now be responsible for supervisory operations at one of the largest firms she once helped regulate.
March 29 -
The revised code of conduct will broaden fiduciary responsibilities for planners, but critics say the framework falls short on disclosures and conflicts.
March 29 -
The broker belonged to Morgan Stanley's Chairman's Club, a group reserved for the elite among the firm's advisor ranks.
March 28 -
The regional BD failed to properly document its own investigations in the matter, and couldn't answer some SEC questions about who knew what and when, the regulator says.
March 27 -
National Financial Services accused the brokers' former IBD of breach of contract in a case displaying the complexities of such moves.
March 27 -
The broker also purportedly neglected to disclose an outside real estate business to BBVA, FINRA said.
March 27 -
Issuers and investors stand to benefit from the provision, which makes it easier for managers to select securities for their funds, but not without risk.
March 27 -
Sometimes, crunching the numbers shows surprising results. Here’s how advisors can evaluate the tradeoffs of relocating to regions with lower taxes.
March 27 -
Combating these misconceptions may help taxpayers maximize benefits.
March 27 -
The accusations shed light on the massive back-office systems maintained by regulators and the difficulty of keeping the sensitive information in them private.
March 27 -
More than a decade ago, bankers fought Walmart tooth and nail as it made forays into banking. But with Amazon making more moves into financial services, the reaction is very different.
March 22 -
Instead of harmonizing standards of client care across the industry, it may be better to re-differentiate them in light of the fiduciary rule's recent court loss.
March 22 -
Compliance experts stress the importance of working out a game plan for how to handle an exam before the feds come knocking.
March 22 -
The two IBDs have agreed to pay restitution in one of the largest securities fraud cases in the advisor’s home state.
March 21 -
The bank sometimes ignored the advice of its own diligence vendors in packaging and selling loans.
March 21 -
To protect their practice, advisors should know the answers to several critical questions about how vendors use and safeguard their data.
March 21 -
The trade group cautions that the SEC could outsource advisor oversight due to low examination rates.
March 20 -
After a federal appeals court strikes down the fiduciary rule, a legal path forward seems uncertain, but the regulation has already made its mark.
March 20 -
Borrowers can still use the allowance as long as it’s for home improvements.
March 20

















