Regulation & Compliance http://wealthmanagement.com/taxonomy/term/6625/more en Mark Casady: How the DOL's Fiduciary Rule Could Be Improved http://wealthmanagement.com/industry/mark-casady-how-dols-fiduciary-rule-could-be-improved <div class="node-body article-body">LPL Financial's CEO and Chairman Mark Casady explains where LPL Financial stands on the DOL's re-proposed fiduciary rule and how the regulation could impact the industry. </div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/industry/mark-casady-how-dols-fiduciary-rule-could-be-improved" target="_blank">read more</a></p> http://wealthmanagement.com/industry/mark-casady-how-dols-fiduciary-rule-could-be-improved#comments IBDs Industry Regulation & Compliance Mon, 29 Jun 2015 09:20:00 +0000 930971 at http://wealthmanagement.com FPA: Changes Needed to Make DOL Fiduciary Rule Workable http://wealthmanagement.com/legal/fpa-changes-needed-make-dol-fiduciary-rule-workable <div class="node-body article-body">The Financial Planning Association is supportive of the Department of Labor’s fiduciary proposal, but the organization said Tuesday that doesn’t mean it thinks the rules is perfect.</div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/legal/fpa-changes-needed-make-dol-fiduciary-rule-workable" target="_blank">read more</a></p> http://wealthmanagement.com/legal/fpa-changes-needed-make-dol-fiduciary-rule-workable#comments Industry Legal Regulation & Compliance Tue, 23 Jun 2015 18:22:00 +0000 928541 at http://wealthmanagement.com Firm Cybersecurity Breaches on the Rise http://wealthmanagement.com/blog/firm-cybersecurity-breaches-rise <div class="node-body blog-body">Investment advisory firms say cybersecurity is the hottest compliance topic, and yet, the number of firms falling victim to attacks is on the rise.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/intelligent-advisor">Intelligent Advisor</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/firm-cybersecurity-breaches-rise" target="_blank">read more</a></p> http://wealthmanagement.com/blog/firm-cybersecurity-breaches-rise#comments Technology Blogs Regulation & Compliance Intelligent Advisor Tue, 23 Jun 2015 17:53:00 +0000 928451 at http://wealthmanagement.com The SEC and FINRA Get It Right http://wealthmanagement.com/regulation-compliance/sec-and-finra-get-it-right <div class="field-byline"> Eli Broverman </div> <div class="field-deck"> A bulletin focuses on automated investing and ways consumers should evaluate a service. </div> <div class="node-body article-body">A bulletin focuses on automated investing and ways consumers should evaluate a service. </div> <div class="field-content-focus"> <span>Content Classification:&nbsp;</span> Aggregated </div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/regulation-compliance/sec-and-finra-get-it-right" target="_blank">read more</a></p> http://wealthmanagement.com/regulation-compliance/sec-and-finra-get-it-right#comments Technology Betterment Regulation & Compliance Tue, 23 Jun 2015 14:32:00 +0000 929541 at http://wealthmanagement.com U.S. SEC Launches Compliance Review to Protect Retiree Investors http://wealthmanagement.com/regulation-compliance/us-sec-launches-compliance-review-protect-retiree-investors <div class="field-byline"> Sarah N. Lynch </div> <div class="node-body article-body">The U.S. Securities and Exchange Commission on Monday launched a program to ensure brokerages and advisers are offering reasonable investment advice and disclosing conflicts to retirement-age investors.</div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/regulation-compliance/us-sec-launches-compliance-review-protect-retiree-investors" target="_blank">read more</a></p> http://wealthmanagement.com/regulation-compliance/us-sec-launches-compliance-review-protect-retiree-investors#comments Industry Regulation & Compliance Retirement Planning Mon, 22 Jun 2015 17:09:00 +0000 927721 at http://wealthmanagement.com Copyright Mark Wilson, Getty Images Wall St. Watchdog, Firms Discuss Corporate Bond Market http://wealthmanagement.com/regulation-compliance/wall-st-watchdog-firms-discuss-corporate-bond-market <div class="node-body article-body">The Financial Industry Regulatory Authority, Wall Street's industry-funded watchdog, said on Thursday it met with other regulators and financial firms to discuss issues that pertain to the corporate bond market.</div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/regulation-compliance/wall-st-watchdog-firms-discuss-corporate-bond-market" target="_blank">read more</a></p> http://wealthmanagement.com/regulation-compliance/wall-st-watchdog-firms-discuss-corporate-bond-market#comments Markets Fixed Income Regulation & Compliance Fri, 19 Jun 2015 12:23:00 +0000 926101 at http://wealthmanagement.com U.S. Labor Dept's Perez to Defend Proposed Broker Rules to Congress http://wealthmanagement.com/regulation-compliance/us-labor-depts-perez-defend-proposed-broker-rules-congress <div class="field-byline"> Sarah N. Lynch </div> <div class="node-body article-body">The U.S. Labor Department secretary will try to persuade skeptical Republican lawmakers on Wednesday that new draft rules to rein in conflicts posed by brokers who offer retirement advice reflect "the right middle ground in providing greater consumer protection."</div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/regulation-compliance/us-labor-depts-perez-defend-proposed-broker-rules-congress" target="_blank">read more</a></p> http://wealthmanagement.com/regulation-compliance/us-labor-depts-perez-defend-proposed-broker-rules-congress#comments Industry Regulation & Compliance Wed, 17 Jun 2015 14:00:00 +0000 924981 at http://wealthmanagement.com <p>U.S. Department of Labor Secretary Thomas Perez</p> Copyright Alex Wong, Getty Images Fiduciary Fight Heats Up on Hill http://wealthmanagement.com/blog/fiduciary-fight-heats-hill <div class="node-body blog-body">Opposition to the White House-backed to the proposed definition of a fiduciary financial advisors continues to grow on Capitol Hill.</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/fiduciary-fight-heats-hill" target="_blank">read more</a></p> http://wealthmanagement.com/blog/fiduciary-fight-heats-hill#comments Legal Blogs Regulation & Compliance Rulebook Tue, 16 Jun 2015 17:56:00 +0000 924341 at http://wealthmanagement.com <p>Labor Secretary Tom Perez scheduled to speak to Congress on fiduciary proposal on Wednesday. | Copyright&nbsp;Joe&nbsp;Raedle,&nbsp;Getty Images.&nbsp;</p> Cost of Litigation for Firms Totals $178B Since Crisis http://wealthmanagement.com/blog/cost-litigation-firms-totals-178b-crisis <div class="node-body blog-body">The cost of complying with regulations is skyrocketing. Banks and financial institutions in the U.S. and Europe have paid out $178 billion in litigation costs since the financial crisis, according to data compiled by the Boston Consulting Group.</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/cost-litigation-firms-totals-178b-crisis" target="_blank">read more</a></p> http://wealthmanagement.com/blog/cost-litigation-firms-totals-178b-crisis#comments Legal Blogs Regulation & Compliance Rulebook Mon, 15 Jun 2015 16:15:00 +0000 922151 at http://wealthmanagement.com FINRA to Clarify Firms' Duties in Curbing Elder Abuse http://wealthmanagement.com/regulation-compliance/finra-clarify-firms-duties-curbing-elder-abuse <div class="field-byline"> Suzanne Barlyn </div> <div class="node-body article-body"><p>Wall Street&#39;s industry-funded watchdog is crafting guidance that would give brokers clarity about delaying transactions made by investors whom they believe may be suffering from dementia or are being influenced by caregivers, its chief said on Wednesday.</p></div> <div class="og_rss_groups"></div><p><a href="http://wealthmanagement.com/regulation-compliance/finra-clarify-firms-duties-curbing-elder-abuse" target="_blank">read more</a></p> http://wealthmanagement.com/regulation-compliance/finra-clarify-firms-duties-curbing-elder-abuse#comments Industry Regulation & Compliance Wed, 10 Jun 2015 19:45:00 +0000 920481 at http://wealthmanagement.com