Rulebook http://wealthmanagement.com/blog/246001/feed Compliance, regulatory and legal issues, with a fair amount of cops and robbers for fun. en SEC Chair Supports Outside Examiners For RIAs http://wealthmanagement.com/blog/sec-chair-supports-outside-examiners-rias <div class="node-body blog-body">SEC Chair Mary Jo White told a congressional committee Tuesday she supported the idea of third-party examiners for RIAs to supplement, but not replace, those performed by her commission.</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-chair-supports-outside-examiners-rias" target="_blank">read more</a></p> http://wealthmanagement.com/blog/sec-chair-supports-outside-examiners-rias#comments Blogs Rulebook Tue, 24 Mar 2015 21:25:00 +0000 822101 at http://wealthmanagement.com SIFMA Attacks White House Conflicted Advice Research http://wealthmanagement.com/blog/sifma-attacks-white-house-conflicted-advice-research <div class="node-body blog-body">The Securities Industry and Financial Markets Association on Monday blasted research produced by the White House in its recent efforts to push forward a fiduciary standard for advisors, calling its approach flawed.</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/sifma-attacks-white-house-conflicted-advice-research" target="_blank">read more</a></p> http://wealthmanagement.com/blog/sifma-attacks-white-house-conflicted-advice-research#comments Industry Blogs Rulebook Mon, 16 Mar 2015 20:02:00 +0000 815651 at http://wealthmanagement.com FINRA Sanctions N.Y. Firm, Bans Exec http://wealthmanagement.com/blog/finra-sanctions-ny-firm-bans-exec <div class="node-body blog-body"><p>The Financial Industry Regulatory Authority issued $1.5 million in sanctions against Brookville Capital Partners on Thursday and barred the firm&rsquo;s president for fraud.</p></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/finra-sanctions-ny-firm-bans-exec" target="_blank">read more</a></p> http://wealthmanagement.com/blog/finra-sanctions-ny-firm-bans-exec#comments Legal Blogs Rulebook Thu, 12 Mar 2015 15:38:00 +0000 811831 at http://wealthmanagement.com The True Cost of Fraud http://wealthmanagement.com/blog/true-cost-fraud <div class="node-body blog-body">When investors are hit with fraud, it&rsquo;s not just their wallets that hurt, (although about 9 percent do declare bankruptcy as a result).</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/true-cost-fraud" target="_blank">read more</a></p> http://wealthmanagement.com/blog/true-cost-fraud#comments Industry Legal Blogs Rulebook Mon, 09 Mar 2015 18:32:00 +0000 807901 at http://wealthmanagement.com Republican Revives Bill to Block DOL Fiduciary Rule http://wealthmanagement.com/blog/republican-revives-bill-block-dol-fiduciary-rule <div class="node-body blog-body">Congresswoman Ann Wagner (R-Mo.) pushed back against President Barack Obama and the Department of Labor&rsquo;s proposed fiduciary rulemaking, proposing a bill aimed at stalling the labor agency until the SEC had a chance to propose rules.</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/republican-revives-bill-block-dol-fiduciary-rule" target="_blank">read more</a></p> http://wealthmanagement.com/blog/republican-revives-bill-block-dol-fiduciary-rule#comments Industry Blogs Rulebook Wed, 25 Feb 2015 20:58:00 +0000 793271 at http://wealthmanagement.com <p>U.S. Rep. Ann Wagner</p> <p><em>Copyright <span id="spanArtist">Chip Somodevilla, Getty Images</span></em></p> Collaboration, Information-Sharing Key to Cybersecurity http://wealthmanagement.com/blog/collaboration-information-sharing-key-cybersecurity <div class="node-body blog-body"><p>Cybersecurity must be a collaborative effort between the industry, regulators and policymakers, the president and CEO of the SIFMA said Wednesday.</p></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/collaboration-information-sharing-key-cybersecurity" target="_blank">read more</a></p> http://wealthmanagement.com/blog/collaboration-information-sharing-key-cybersecurity#comments Industry Blogs Rulebook Wed, 04 Feb 2015 16:02:00 +0000 771921 at http://wealthmanagement.com Congress Could Close Tax Loopholes to Raise Money http://wealthmanagement.com/blog/congress-could-close-tax-loopholes-raise-money <div class="node-body blog-body">Advisors need to keep an eye on potential tax loophole closures as the year goes forward, particularly as the government faces funding legislation around homeland security and highways.</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/congress-could-close-tax-loopholes-raise-money" target="_blank">read more</a></p> http://wealthmanagement.com/blog/congress-could-close-tax-loopholes-raise-money#comments Taxes Blogs Rulebook Tue, 27 Jan 2015 21:18:00 +0000 763461 at http://wealthmanagement.com <p>Andy Friedman of the Washington Update speaks at FSI OneVoice on Tuesday.</p> Advisors Need to Engage Washington to Change Perception of Wall Street http://wealthmanagement.com/blog/advisors-need-engage-washington-change-perception-wall-street <div class="node-body blog-body">Advisors are going to have to play the long game if they want to change the way broker/dealers are lumped together with Wall Street. </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/advisors-need-engage-washington-change-perception-wall-street" target="_blank">read more</a></p> http://wealthmanagement.com/blog/advisors-need-engage-washington-change-perception-wall-street#comments IBDs Blogs Rulebook Tue, 27 Jan 2015 04:43:00 +0000 762421 at http://wealthmanagement.com <p>Photo by Brian M. Finnigan.</p> Wirehouse Advisors Gripe About, Increasingly Satisfied with Compliance http://wealthmanagement.com/blog/wirehouse-advisors-gripe-about-increasingly-satisfied-compliance <div class="node-body blog-body">Despite constant and vocal grumbling, national brokerage and wirehouse advisors have steadily increased their satisfaction ratings of firms’ compliance programs.</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/wirehouse-advisors-gripe-about-increasingly-satisfied-compliance" target="_blank">read more</a></p> http://wealthmanagement.com/blog/wirehouse-advisors-gripe-about-increasingly-satisfied-compliance#comments 2014 Broker Report Card Blogs Wirehouse Rulebook Mon, 29 Dec 2014 10:10:00 +0000 732941 at http://wealthmanagement.com Busted: Alts Manager Taken Away in Handcuffs http://wealthmanagement.com/blog/busted-alts-manager-taken-away-handcuffs <div class="node-body blog-body">Daniel Thibeault, a Harvard Business School graduate and president and chief investment officer of GL Capital Partners, was arrested last week and charged with securities fraud.</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/busted-alts-manager-taken-away-handcuffs" target="_blank">read more</a></p> http://wealthmanagement.com/blog/busted-alts-manager-taken-away-handcuffs#comments Legal Blogs Rulebook Tue, 16 Dec 2014 19:29:00 +0000 732971 at http://wealthmanagement.com