Regulation and compliance
Regulation and compliance
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Arbitrators also rejected the former adviser's counterclaims for $51 million in damages.
December 6 -
An arbitration panel ordered the wirehouse to settle the latest dispute stemming from client investment losses tied to the island commonwealth's massive debt crisis.
December 6 -
Anticipation of auto enrollment features is expected to change the way advisers serve their clients.
December 6 -
President Dan Arnold will be tasked with managing the rollout of new digital technologies and implementing the fiduciary rule.
December 5 -
The problem began when a hyperlink was missing from where clients were accustomed to reviewing their transactions online.
December 5 -
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President-elect Trump will likely to be "bond unfriendly" because his proposals will drive up yields by increasing national debt and stoking inflation, Gundlach predicts.
December 5 -
The firm’s review process is called "paper-thin" after an adviser is charged with selling retirees unsuitable variable annuities and fabricating client information.
December 2 -
"An investor should move to cash and cash alternatives," he advised.
December 1 -
The new leadership approach differs from almost all of the bank's biggest competitors.
December 1 -
The firm detailed its compliance plans while acknowledging that the regulation could be changed under President-elect Trump.
December 1 -
There's another approach to crafting a regulation that would benefit advisers and clients, RBC Wealth Management's former CEO says.
November 30 -
Next week, we'll unveil our annual Top Bank Advisers. In the meantime, see how you measure up to the leading advisers in the channel.
November 30 -
The new administration will have two paths it can take to stop the regulation from being implemented.
November 30 -
Though against the firm's policy, the wirehouse still permitted the purchase of securities with credit lines "on thousands of occasions" during a four-year period, according to the regulator.
November 30 -
A handy guide for advisers, legislators and regulators to decode the jargon used to talk about issues important to the planning profession.
November 30 -
The Republican's hostility to all things Obama sets the stage for dramatic departures on financial regulation.
November 30 -
The regulator claimed the firm provided inaccurate historical weighted-average performance results to customers who used PortfolioBuilder2.
November 29 -
A FINRA panel ordered the wirehouse to pay damages to two former clients who invested in Puerto Rican municipal bonds and closed-end funds.
November 29














