Regulation and compliance
Regulation and compliance
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The award marks the largest of its kind this year.
November 7 -
The senior's investments were overly concentrated with as much as 95% of her portfolio invested at times in oil and gas master limited partnerships.
November 6 -
A quick look inside the proposed Tax Cuts and Jobs Act.
November 3 -
FINRA rejected the advisor's claims as the firm resolved two longstanding compliance issues.
November 3 -
Nov. 6: Platforms like FundKeeper are aimed at helping retirement account advisors comply with the DoL’s fiduciary rule.
November 3 -
Trump's pick might have to manage a recession, given that the current expansion would become the longest ever in the next four years.
November 2 -
Who would the changes help — and hurt? Baird’s director of advanced planning weighs in.
November 2 - Finance and investment-related court cases
Lies about being in contact with clients were the real reason the whisteblower was fired, according to a defendant and key witness for the bank.
November 2 -
The department's proposal furthers efforts to undo the controversial regulation.
November 2 -
Here’s what to tell your clients about investing in marijuana.
November 1 -
With the compliance deadline nearing, regulators have yet to make key decisions on dark pools, rules clashes with foreign markets and data collection.
November 1 -
An abundance of software and practice tools has planners and firms overwhelmed. Here’s what it means for the industry.
November 1 -
Tom Buck was once a top-ranked Barron's advisor at the wirehouse, where he worked for more than 30 years.
October 31 - Finance and investment-related court cases
A former vice president in the private wealth management group claims she was fired for investigating suspicions that a client might be involved in fraud or money laundering.
October 31 -
Taxpayers face a penalty known as an individual shared responsibility payment if they do not comply, IRS says.
October 30 -
Institutions are regularly compiling large amounts of data in their quest for enhanced disclosure, an expert writes.
October 30 -
New solutions offer plenty of features but lack focus.
October 30 -
Susan Axelrod will leave the self-regulator after 28 years on the job.
October 27 -
Oct. 30: After experiencing two major bear markets, younger generations are demanding products that are easy to understand and offer transparency.
October 27 -
Speaking to hundreds of industry executives, Jay Clayton said his agency can't simply supplant the Department of Labor.
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