Regulation and compliance
Regulation and compliance
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In a case with misled clients, celebrating regulators and damaged trust, a veteran securities expert says there are no winners.
June 15 -
An order-by-auction system would be a significant change to the way retail trades are executed.
June 8 -
Sustainability benchmarks are taking over companies and funds that hold their stock. It's how an Hermès Birkin bag can get tagged as good for democracy.
June 8 -
Investors are also increasingly skeptical of the claims by some sustainable investment funds.
June 7 -
The firm dragged three advisors through a lengthy arbitration case, only to lose and get saddled with all of the hearing costs.
June 7 -
The regulator gave the firm credit for “extraordinary cooperation” despite alleging that its system failed for six years to the tune of more than $13 million.
June 6 -
“Investomania” aims to tamp down the game-like nature of Robinhood-style investing.
June 2 -
Asset management firms say the SEC can't regulate something it hasn't yet defined.
June 1 -
Shoring up fiduciary obligations under ERISA would be a much-needed protection for investors.
May 31 -
Investors in digital assets have been pummeled recently by the longest losing streak since 2011, but if they act promptly, they can cut their tax bills.
May 31 -
The regulator charged RiverSource with violating a provision of the Investment Company Act that’s never previously been part of an enforcement action.
May 26 -
The regulator's proposal for sweeping disclosure rules is not making the asset management industry happy.
May 26 -
The new offerings aim to help firms with red flag detection and meeting new Department of Labor rollover requirements.
May 26 -
Plus, Accenture’s latest compliance risk report, and a new partnership between a fintech startup and an RIA accelerator.
May 26 -
A former executive with the firm claims it and other defendants Schwab, TD and Fidelity are engaging in a conspiracy and violating investor protections.
May 24 -
The firms respectively settled the regulator’s allegations about suspicious activity reports and the duty of best execution — two major areas of emphasis.
May 23 -
A roundup of the bits of wealth management news you might have missed over the last week.
May 20 -
Firms like Morgan Stanley, Goldman Sachs and Commonwealth have made changes under the rule, but the SEC is sending tough and vague messages.
May 19 -
Regulators and industry insiders talked about the hottest topics in fintech during FINRA’s annual conference.
May 18 -
In a symposium, SEC Chair Gensler voiced concern about the technologies’ possible conflicts, biases and systematic risks.
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