Regulation and compliance
Regulation and compliance
-
Alongside other firms recently disclosing major regulatory cases, the Swiss bank is cooperating with an investigation by the SEC and CFTC.
July 26 -
The RIA’s customers didn’t receive adequate explanation of its conflicts of interest from no-transaction-fee mutual funds, the regulator says.
July 25 -
Enforcement Director Gurbir Grewal said the answer to the question of whether the rule has changed anything “remains to be seen.”
July 22 -
The guidelines can help planners with charitably minded clients steer clear of compliance thickets and run-ins with the IRS.
July 22 -
A look at the biggest regulations, legislation and court cases in the field from the first half of the year.
July 21 -
‘Equi-vest’ account statements sent to a million public school teachers and other 403(b) and 457(b) clients were missing nearly all of the expenses, the regulator says.
July 20 -
Even if rules governing the new assets turn out to be at odds with those of firms, acting today will foster a compliance culture in a volatile financial services space.
July 20 -
Regulators are reportedly charging Morgan Stanley and four other firms a collective $1 billion over their employees' use of unauthorized messaging apps.
July 15 -
Joshua David Nicholas adds federal charges to a long list of fines, citations and ejections from the industry.
July 13 -
Capital gains distributions running to the hundreds of thousands of dollars hit certain clients with painful payments due to the firm's flub, a regulator says.
July 13 -
Commissioner Hester Peirce said an enforcement matter relating to a million-dollar fraud case fits a “sound” framework for charging compliance officers.
July 13 -
Retail investors and private funds alike have flocked to derivatives-powered products this year amid market turmoil to bet on declines and to hedge against various stocks.
July 13 -
The case offers the latest confusing signal about an industry that forces discrimination cases into arbitration and fights them to the bitter end.
July 11 -
Wall Street’s regulator is following the recommendations of a little-noticed government watchdog report last year. But it refuses to share the full findings.
July 7 -
Advisory firms are particularly vulnerable to data breaches, according to a recent Arizent survey, and proposed SEC rules mean they may no longer be able to react to cyberattacks with impunity.
July 7 -
Some of the wirehouse's advisors marketed and sold a complex options trading vehicle without adequately understanding its risks, according to the regulator.
June 30 -
The agency is continuing its focus on firms that have never been examined, including recently formed ones.
June 29 -
An independent investigation found no evidence of a pact with Wells Fargo’s attorney but omitted mention of the other big questions emanating from the case.
June 29 -
As wealth managers brace for new enforcement cases under Reg BI, a case stemming from conduct four years ago may offer some clues about what’s to come.
June 28 -
A panel of FINRA arbitrators unanimously ordered the award against the megabank based on Erin Ann Daly’s claims of gender-based discrimination.
June 26



















