Regulation & Compliance http://wealthmanagement.com/taxonomy/term/6625/more en Another New Regulatory Burden Coming for RIAs http://wealthmanagement.com/regulation-compliance/another-new-regulatory-burden-coming-rias <div class="node-body article-body">This time, the Department. of Treasury’s anti-money laundering rules will extend to registered investment advisors. Your firm will need to make some changes. </div> <p><a href="http://wealthmanagement.com/regulation-compliance/another-new-regulatory-burden-coming-rias" target="_blank">read more</a></p> http://wealthmanagement.com/regulation-compliance/another-new-regulatory-burden-coming-rias#comments RIAs Regulation & Compliance Thu, 30 Jun 2016 17:01:00 +0000 1224581 at http://wealthmanagement.com Copyright Mark Wilson, Getty Images Oppenheimer To Pay Nearly $3 Million For Improper ETF Sales http://wealthmanagement.com/regulation-compliance/oppenheimer-pay-nearly-3-million-improper-etf-sales <div class="node-body article-body">Oppenheimer &amp; Co agreed to pay nearly $3 million in fines and restitution to settle U.S. regulatory charges that it improperly sold risky exchange-traded funds to risk-averse elderly customers and other retail investors.</div> <p><a href="http://wealthmanagement.com/regulation-compliance/oppenheimer-pay-nearly-3-million-improper-etf-sales" target="_blank">read more</a></p> http://wealthmanagement.com/regulation-compliance/oppenheimer-pay-nearly-3-million-improper-etf-sales#comments ETFs Regulation & Compliance Wed, 08 Jun 2016 14:35:00 +0000 1204021 at http://wealthmanagement.com 'I'm Done': US Wealth Managers May Call It Quits Over Regulatory Load http://wealthmanagement.com/regulation-compliance/im-done-us-wealth-managers-may-call-it-quits-over-regulatory-load <div class="field-byline"> Elizabeth Dilts </div> <div class="node-body article-body">Some U.S. financial advisers are so fed up with regulatory red tape, they may opt for early retirement, the head of Boston Consulting Group's wealth management group said.</div> <p><a href="http://wealthmanagement.com/regulation-compliance/im-done-us-wealth-managers-may-call-it-quits-over-regulatory-load" target="_blank">read more</a></p> http://wealthmanagement.com/regulation-compliance/im-done-us-wealth-managers-may-call-it-quits-over-regulatory-load#comments Industry Regulation & Compliance Careers Wed, 08 Jun 2016 10:15:00 +0000 1203481 at http://wealthmanagement.com <p>The relief that comes with not dealing with regulators.</p> Breaking Down the Fiduciary Rule, Part Three: Why Are These Changes Being Made? http://wealthmanagement.com/regulation-compliance/breaking-down-fiduciary-rule-part-three-why-are-these-changes-being-made <div class="field-byline"> Ryan W. Smith </div> <div class="field-deck"> The following is the third in a five-part series exploring the U.S. Department of Labor’s final fiduciary rule. </div> <div class="node-body article-body">The following is the third in a five-part series exploring the U.S. Department of Labor’s final fiduciary rule.</div> <p><a href="http://wealthmanagement.com/regulation-compliance/breaking-down-fiduciary-rule-part-three-why-are-these-changes-being-made" target="_blank">read more</a></p> http://wealthmanagement.com/regulation-compliance/breaking-down-fiduciary-rule-part-three-why-are-these-changes-being-made#comments Regulation & Compliance Wed, 25 May 2016 19:38:00 +0000 1181111 at http://wealthmanagement.com Copyright Alex Wong, Getty Images Breaking Down the Fiduciary Rule, Part Four: What is the Potential Impact to Retirement Account Advisement? http://wealthmanagement.com/regulation-compliance/breaking-down-fiduciary-rule-part-four-what-potential-impact-retirement-accoun <div class="field-byline"> Ryan W. Smith </div> <div class="field-deck"> The following is the fourth in a five-part series exploring the U.S. Department of Labor’s final fiduciary rule. </div> <div class="node-body article-body">The following is the fourth in a five-part series exploring the U.S. Department of Labor’s final fiduciary rule.</div> <p><a href="http://wealthmanagement.com/regulation-compliance/breaking-down-fiduciary-rule-part-four-what-potential-impact-retirement-accoun" target="_blank">read more</a></p> http://wealthmanagement.com/regulation-compliance/breaking-down-fiduciary-rule-part-four-what-potential-impact-retirement-accoun#comments Regulation & Compliance Wed, 25 May 2016 19:38:00 +0000 1195061 at http://wealthmanagement.com Copyright Alex Wong, Getty Images Breaking Down the Fiduciary Rule, Part Five: What is the Potential Impact to Other Aspects of the Financial Services Industry? http://wealthmanagement.com/regulation-compliance/breaking-down-fiduciary-rule-part-five-what-potential-impact-other-aspects-fin <div class="field-byline"> Ryan W. Smith </div> <div class="field-deck"> The following is the fifth in a five-part series exploring the U.S. Department of Labor’s final fiduciary rule. </div> <div class="node-body article-body">The following is the fifth in a five-part series exploring the U.S. Department of Labor’s final fiduciary rule.</div> <p><a href="http://wealthmanagement.com/regulation-compliance/breaking-down-fiduciary-rule-part-five-what-potential-impact-other-aspects-fin" target="_blank">read more</a></p> http://wealthmanagement.com/regulation-compliance/breaking-down-fiduciary-rule-part-five-what-potential-impact-other-aspects-fin#comments Regulation & Compliance Wed, 25 May 2016 19:38:00 +0000 1195071 at http://wealthmanagement.com Copyright Alex Wong, Getty Images Breaking Down the Fiduciary Rule, Part Two: Why Was the Suitability Standard Not Enough? http://wealthmanagement.com/regulation-compliance/breaking-down-fiduciary-rule-part-two-why-was-suitability-standard-not-enough <div class="field-byline"> Ryan W. Smith </div> <div class="field-deck"> The following is the second in a five-part series exploring the U.S. Department of Labor's final fiduciary rule. </div> <div class="node-body article-body">The following is the second in a five-part series exploring the U.S. Department of Labor's final fiduciary rule.</div> <p><a href="http://wealthmanagement.com/regulation-compliance/breaking-down-fiduciary-rule-part-two-why-was-suitability-standard-not-enough" target="_blank">read more</a></p> http://wealthmanagement.com/regulation-compliance/breaking-down-fiduciary-rule-part-two-why-was-suitability-standard-not-enough#comments Regulation & Compliance Tue, 24 May 2016 17:00:00 +0000 1179781 at http://wealthmanagement.com Breaking Down the Fiduciary Rule, Part One: Fiduciary Versus Suitability Standard http://wealthmanagement.com/regulation-compliance/breaking-down-fiduciary-rule-part-one-fiduciary-versus-suitability-standard <div class="field-byline"> Ryan W. Smith </div> <div class="field-deck"> The following is the first in a five-part series exploring the U.S. Department of Labor's final fiduciary rule. </div> <div class="node-body article-body">The following is the first in a five-part series exploring the U.S. Department of Labor's final fiduciary rule.</div> <p><a href="http://wealthmanagement.com/regulation-compliance/breaking-down-fiduciary-rule-part-one-fiduciary-versus-suitability-standard" target="_blank">read more</a></p> http://wealthmanagement.com/regulation-compliance/breaking-down-fiduciary-rule-part-one-fiduciary-versus-suitability-standard#comments Regulation & Compliance Mon, 23 May 2016 20:17:00 +0000 1179001 at http://wealthmanagement.com SEC, Treasury Ask Wall Street Dealers to Report Bond Trade Data http://wealthmanagement.com/fixed-income/sec-treasury-ask-wall-street-dealers-report-bond-trade-data <div class="field-byline"> Alexandra Scaggs </div> <div class="node-body article-body">Two government agencies are seeking the help of Wall Street’s self-regulator as they team up to survey about $500 billion of daily transactions in the U.S. Treasuries market.</div> <p><a href="http://wealthmanagement.com/fixed-income/sec-treasury-ask-wall-street-dealers-report-bond-trade-data" target="_blank">read more</a></p> http://wealthmanagement.com/fixed-income/sec-treasury-ask-wall-street-dealers-report-bond-trade-data#comments Legal Fixed Income Regulation & Compliance Tue, 17 May 2016 15:10:00 +0000 1185361 at http://wealthmanagement.com The DOL’s Gift to Financial Advisors http://wealthmanagement.com/regulation-compliance/dol-s-gift-financial-advisors <div class="field-deck"> As much as this DOL fiduciary ruling is a pain, embrace the reality and it becomes a rainmaking tool. </div> <div class="node-body article-body">As much as this DOL fiduciary ruling is a pain, embrace the reality and it becomes a rainmaking tool. </div> <p><a href="http://wealthmanagement.com/regulation-compliance/dol-s-gift-financial-advisors" target="_blank">read more</a></p> http://wealthmanagement.com/regulation-compliance/dol-s-gift-financial-advisors#comments Regulation & Compliance Practice Management Wed, 04 May 2016 18:39:00 +0000 1175231 at http://wealthmanagement.com