Alongside other firms recently disclosing major regulatory cases, the Swiss bank is cooperating with an investigation by the SEC and CFTC.

The RIA’s customers didn’t receive adequate explanation of its conflicts of interest from no-transaction-fee mutual funds, the regulator says.

Enforcement Director Gurbir Grewal said the answer to the question of whether the rule has changed anything “remains to be seen.”

The guidelines can help planners with charitably minded clients steer clear of compliance thickets and run-ins with the IRS.

A look at the biggest regulations, legislation and court cases in the field from the first half of the year.

‘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.

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.

Regulators are reportedly charging Morgan Stanley and four other firms a collective $1 billion over their employees' use of unauthorized messaging apps.

Joshua David Nicholas adds federal charges to a long list of fines, citations and ejections from the industry.

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.

Commissioner Hester Peirce said an enforcement matter relating to a million-dollar fraud case fits a “sound” framework for charging compliance officers.

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.

The case offers the latest confusing signal about an industry that forces discrimination cases into arbitration and fights them to the bitter end.

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.

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.

Some of the wirehouse's advisors marketed and sold a complex options trading vehicle without adequately understanding its risks, according to the regulator.

The agency is continuing its focus on firms that have never been examined, including recently formed ones.

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.

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.

A panel of FINRA arbitrators unanimously ordered the award against the megabank based on Erin Ann Daly’s claims of gender-based discrimination.