Regulation and compliance
Regulation and compliance
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The latest developments make columnist Bob Veres wonder whether he has fallen through a wormhole.
February 27 -
The move is good news for money managers looking to tap into emerging stocks and equities in Europe after run-ups in both over the past year.
February 27 -
Acting Chairman Michael Piwowar calls accredited investor threshold an "artificial distinction" that perversely can hurt the smaller investors it's designed to protect.
February 24 -
Embracing fiduciary standards, managing client risk and integrating technology are essential steps for every RIA to undertake.
February 24 -
“It starts out small,” the advisor told his compliance officer, authorities say. “You think you are going to pay it back.”
February 24 -
In a nod that digital advice is here to stay, the agency updates its directions on how to ensure compliance, along with tips for evaluating the growing number of services.
February 23 -
Banks and credit unions scramble to adjust their product choices with a significant 40% of those surveyed developing separate menus for retirement and retail accounts.
February 23 -
Just in case clients are looking to cut few corners, here are some of the most common tax frauds that the agency is ready to pounce upon.
February 23 -
Avoiding the pitfalls of managing client finances can be challenging. Here's how some advisers fared — some successfully, others not so much.
February 21 -
A Senate bill would provide liability protections for advisors who report suspected abuse of senior clients.
February 21 -
Such wagers can only be settled in Bitcoin, on the BitMEX, which offers the ability to trade certain cryptocurrency derivatives with "up to 100x leverage."
February 21 -
Investors snapped up the metal as a store of value amid concern that the president's fiscal policies will bloat government debt.
February 21 -
Even a well-intentioned compliance manual can draw the ire of regulators.
February 21 -
The rule’s outlook seems uncertain, but a strong undercurrent is carrying the industry along.
February 17 -
The SEC released a letter outlining where the most common deficiencies occur.
February 16 -
An adviser at the firm squandered the aging clients' retirement money on oil and gas investments and Puerto Rico bonds, their lawyer said.
February 16 -
The fast-food executive withdrew amid controversy over his personal life.
February 16 -
The broker was terminated after a series of unauthorized transactions involving the accounts of customers of both BBVA and its affiliate bank, FINRA claimed.
February 15 -
Reflecting industry concern with Department of Labor rule requirements, the firm dubbed the platform as a "One-Click Fiduciary."
February 15 -
In spite of its own compliance policies, the firm failed to get several hundred clients to sign a disclosure notice that described risks associated with inverse ETFs.
February 14














