Regulatory guidance

A recent OCIE report shows that advisors are missing the mark on protecting their businesses against cyber threats.

The move will streamline investigations and standardize sanctions, the regulator says.

Expanding the fiduciary role of CFPs is a good thing — but the fine print is worth sweating.

Some predict the new standards will push more planners to drop their CFPs.

Regulation SP lays out the guidelines. In addition, just how many texts does a firm need to save?

Jay Clayton acknowledged in testimony on Capitol Hill that it's a “very complicated issue.”

Regulators now use deeper dives into specific areas rather than broad probes, experts say.

Even as the board seeks stricter fiduciary rules, there are concerns about loopholes on conflicts and commissions.

A tweak in accounting guidelines the firm helped to modify is expected to make the funds cheaper and easier to own.

The OCIE is suggesting best practices for firms to protect themselves.