Rulebook http://wealthmanagement.com/blog/246001/feed Compliance, regulatory and legal issues, with a fair amount of cops and robbers for fun. en The Blotter Report: Where Did it All Go Wrong? http://wealthmanagement.com/blog/blotter-report-where-did-it-all-go-wrong <div class="node-body blog-body">The evidence keeps piling up against a Long Island financial planner accused of stealing $1.6 million from charities and clients. Meanwhile FINRA banned a Los Angeles analyst for lying to investigators looking into an insider trading scheme. </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/blotter-report-where-did-it-all-go-wrong" target="_blank">read more</a></p> http://wealthmanagement.com/blog/blotter-report-where-did-it-all-go-wrong#comments Blogs Legal Rulebook Wed, 09 Jul 2014 16:41:00 +0000 600581 at http://wealthmanagement.com RIAs Increase Compliance Staff, Training http://wealthmanagement.com/blog/rias-increase-compliance-staff-training <div class="node-body blog-body">RIA firms continue to increase their investment in compliance, boosting the number of dedicated staff and overall employee training, according to a recent survey.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/rias-increase-compliance-staff-training" target="_blank">read more</a></p> http://wealthmanagement.com/blog/rias-increase-compliance-staff-training#comments Blogs RIAs Regulation & Compliance Rulebook Mon, 07 Jul 2014 16:14:00 +0000 599071 at http://wealthmanagement.com SEC May Lack Sufficient Data for Fidiciary Rule, Industry Groups Cry Foul http://wealthmanagement.com/blog/sec-may-lack-sufficient-data-fidiciary-rule-industry-groups-cry-foul <div class="node-body blog-body">A senior official with the Securities Exchange Commission told Congress Thursday the regulator may not have sufficient data to move ahead on fiduciary rulemaking, but industry groups aren’t buying it.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/sec-may-lack-sufficient-data-fidiciary-rule-industry-groups-cry-foul" target="_blank">read more</a></p> http://wealthmanagement.com/blog/sec-may-lack-sufficient-data-fidiciary-rule-industry-groups-cry-foul#comments Blogs Industry Rulebook Fri, 27 Jun 2014 13:47:00 +0000 593461 at http://wealthmanagement.com Arbitrator Rule Should Be Based on Data, Not Perception http://wealthmanagement.com/blog/arbitrator-rule-should-be-based-data-not-perception <div class="node-body blog-body">Don Runkle, former head of compliance for Raymond James and current director of consulting services at Edgerton & Weaver, speaks out against FINRA's changes to the arbitrator definitions. </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/arbitrator-rule-should-be-based-data-not-perception" target="_blank">read more</a></p> http://wealthmanagement.com/blog/arbitrator-rule-should-be-based-data-not-perception#comments Blogs Legal Rulebook Thu, 26 Jun 2014 20:43:00 +0000 592991 at http://wealthmanagement.com <p>Photo by Spencer Weiner-Pool/Getty Images.</p> Arbitrator Rule Should Be Based on Data, Not Perception http://wealthmanagement.com/blog/arbitrator-rule-should-be-based-data-not-perception <div class="node-body blog-body">Don Runkle, former head of compliance for Raymond James and current director of consulting services at Edgerton & Weaver, speaks out against FINRA's changes to the arbitrator definitions. </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/arbitrator-rule-should-be-based-data-not-perception" target="_blank">read more</a></p> http://wealthmanagement.com/blog/arbitrator-rule-should-be-based-data-not-perception#comments Blogs Legal Rulebook Thu, 26 Jun 2014 20:43:00 +0000 592991 at http://wealthmanagement.com <p>Photo by Spencer Weiner-Pool/Getty Images.</p> FPA Pushes For Senate User-Fee Bill http://wealthmanagement.com/blog/fpa-pushes-senate-user-fee-bill <div class="node-body blog-body">The Financial Planning Association is seeking to resurrect the concept of allowing the Securities Exchange Commission to collect fees to fund advisor exams.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/fpa-pushes-senate-user-fee-bill" target="_blank">read more</a></p> http://wealthmanagement.com/blog/fpa-pushes-senate-user-fee-bill#comments Blogs Legal Rulebook Mon, 23 Jun 2014 20:09:00 +0000 590311 at http://wealthmanagement.com <p>Photo by Brendan Hoffman/Getty Images.</p> The Blotter Report: When the Jig is Up http://wealthmanagement.com/blog/blotter-report-when-jig <div class="node-body blog-body">A New York investment advisor's luck runs out when the SEC claims the firm is raiding client funds to pay for vacation homes and luxury items. Meanwhile a judge sends an Ohio advisor to jail for 18 months for attempting to scam the NBA player's union. </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/blotter-report-when-jig" target="_blank">read more</a></p> http://wealthmanagement.com/blog/blotter-report-when-jig#comments Blogs Legal Rulebook Tue, 17 Jun 2014 20:56:00 +0000 585601 at http://wealthmanagement.com FSI Skeptical About FINRA BrokerCheck Rule Feasibility http://wealthmanagement.com/blog/fsi-skeptical-about-finra-brokercheck-rule-feasibility <div class="node-body blog-body">Will FINRA’s proposed rule requiring firms to link to BrokerCheck records increase investor awareness? The Financial Services Institute remains unconvinced, contending the regulator needs to perform a cost-benefit analysis and weigh alternative options.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/fsi-skeptical-about-finra-brokercheck-rule-feasibility" target="_blank">read more</a></p> http://wealthmanagement.com/blog/fsi-skeptical-about-finra-brokercheck-rule-feasibility#comments Blogs Legal Regulation & Compliance Rulebook Thu, 12 Jun 2014 15:50:00 +0000 582011 at http://wealthmanagement.com IAA To SEC: No Third-Party SRO Exams http://wealthmanagement.com/blog/iaa-sec-no-third-party-sro-exams <div class="node-body blog-body">Investment adviser advocates are on the offensive following SEC Commissioner Dan Gallagher’s bid to look at possibility of an SRO (self regulatory organization) for oversight of RIAs.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/iaa-sec-no-third-party-sro-exams" target="_blank">read more</a></p> http://wealthmanagement.com/blog/iaa-sec-no-third-party-sro-exams#comments Blogs Regulation & Compliance Rulebook Tue, 10 Jun 2014 20:21:00 +0000 580481 at http://wealthmanagement.com Compliance is the Seat of Power & Responsibility http://wealthmanagement.com/blog/compliance-seat-power-responsibility <div class="node-body blog-body">Compliance officers take note: with great power comes great responsibility. </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/compliance-seat-power-responsibility" target="_blank">read more</a></p> http://wealthmanagement.com/blog/compliance-seat-power-responsibility#comments Blogs Legal Pershing INSITE2014 Rulebook Wed, 04 Jun 2014 18:50:00 +0000 576361 at http://wealthmanagement.com