Regulation and compliance
Regulation and compliance
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The clock is ticking for the onset of an incredibly far-reaching new fiduciary rule. Here’s who it helps — and hurts.
April 28 -
Mark Immel had been awarded $450,000 in arbitration but faced further legal battles.
April 27 -
"Direct-to-consumer is not our model," says Scott Curtis, president, Raymond James Financial Services.
April 26 -
The new rules aren't the bonanza for lawyers first imagined from the DoL's fiduciary efforts.
April 26 -
FINRA scolded the firms for alleged operational systems, supervisory and recordkeeping deficiencies.
April 26 -
The rep was barred for engaging in money laundering and helping a childhood friend and business associate deceive creditors.
April 25 -
Mutual and hedge fund managers dodged the toughest provisions of newly proposed U.S. pay rules designed to discourage excessive risk-taking on Wall Street.
April 25 -
Rogers described any potential impact of the new rule as marginal and noted that it might also offer opportunity.
April 24 -
Advisors managing assets within retirement plan vehicles, including IRAs, will need to take a hard look at their own pricing and practices, because simply disclosing conflicts of interest is no longer good enough under the new rule.
April 21 -
The Feds quarter-point rate increase is proving a boon to custody banks.
April 21 -
The advisor was banished for refusing to cooperate with a FINRA investigation into wire activity in the advisor's bank account.
April 20 -
Firms' cyber defenses are in SEC's crosshairs, and the commission is looking to tap an outside group to help police the RIA sector.
April 20 -
Don't fight the DoL's new regulation, says a leading recruiter. Instead, try these strategies that can help you embrace the rule and boost your business.
April 20 -
Voices: Even independent advisors have some adjustments to make. Here are some of the most important, according to managing director of TD Ameritrade Institutional.
April 20 -
Expanded scope for litigation is a cause for concern among wealth management firms, experts say.
April 19 -
The rule could "very much professionalize an industry that very much needs it," says Robert Johnson, president of the planning school.
April 19 -
Advisors can get a helpful best-practices checklist, which may also help build client relationships, from the Institute for the Fiduciary Standard.
April 19 -
Voices: an advisor earning a high single-figure commission from a variable annuity product should become a thing of the past.
April 19 -
The decision could put the spotlight on firms like Citadel, Millennium Management, D.E. Shaw and Bridgewater, which oversee a combined $654 billion in assets, according to SEC filings.
April 19 -
Bonnie Baha, the global developed credit director at DoubleLine, discusses several challenges facing fixed income.
April 19






