Regulation and compliance
Regulation and compliance
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For the first time, fund managers must disclose a breakdown of their fees to banks, insurers and other distributors.
January 3 -
The drastic changes are shaking up the status quo of estate planning. Here’s how financial planners need to change their approach.
January 3 -
Special interest groups may weaken the Department of Labor’s best interest standard. Here’s why that’s bad for financial planners and their clients, according to one expert.
January 2 -
Wall Street doesn’t think corporate America will have a hard time coming up with those employee bonuses that were promised after taxes were slashed.
January 2 -
It’s been a busy first year for the firm’s new chief. Jamie Price responds candidly to Financial Planning’s rapid-fire queries.
January 2 -
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How advisors deal with grievances and arbitration can make or break a career.
December 29 -
The firm displayed inaccurate ratings for more than 1,800 equity securities to its brokers, supervisors and retail customers, FINRA alleged.
December 28 -
Products that best fit clients would have to be offered before those that are most profitable to the sellers, the New York Department of Financial Services said.
December 28 -
It is not the fiduciary rule or whether robo technology is friend or foe.
December 27 -
The rep used his own money to pay the customer the interest she expected on a brokered certificate of deposit.
December 27 -
As a result of the violations, the firm created deficits in foreign and domestic securities valued at hundreds of millions of dollars, FINRA alleged.
December 27 -
The impact of commoditization, fee compression and consolidation on RIAs in 2018 cannot be understated.
December 27 -
Large wealth managers and banks will spend more on blockchain and AI in the coming year, and appear willing to explore new technology partnerships.
December 27 -
Alan J. Foxman looks into his crystal ball and predicts authorities will focus on these key areas.
December 26 -
Caleb Fackrell repeatedly called his behavior “insane” in his testimony, according to transcripts obtained by Financial Planning.
December 22 -
Financial planners report wide demand to learn how to exploit changes in the tax code.
December 22 -
Kestra Financial’s James Poer offers advisors his three predictions for the new year.
December 22 -
The scheme ensnared about 8,400 investors, the regulator says.
December 21 -
Among FINRA’s findings, it said the broker-dealer “unreasonably excluded” some employees who were handling customer accounts from email scrutiny.
December 21


















