More in Regulation & Compliance

  • Jul 8, 2015
    blog

    FSI Taking the Fiduciary Fight to Consumers

    With advisors actively mobilized on the Department of Labor’s fiduciary proposal, the Financial Services Institute is now turning its sights to investors with a new initiative that gives consumers a chance to weigh in....More
  • Jun 23, 2015
    blog

    Firm Cybersecurity Breaches on the Rise

    Investment advisory firms say cybersecurity is the hottest compliance topic, and yet, the number of firms falling victim to attacks is on the rise....More
  • Jun 16, 2015
    blog

    Fiduciary Fight Heats Up on Hill

    Opposition to the White House-backed to the proposed definition of a fiduciary financial advisors continues to grow on Capitol Hill....More
  • Jun 15, 2015
    blog

    Cost of Litigation for Firms Totals $178B Since Crisis

    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....More
  • Jun 4, 2015
    blog

    The 'Game Has Changed': Candid Comments on the Reality of DOL Fiduciary Fight

    The financial services industry needs to accept the reality of the Department of Labor's fiduciary proposal and move onto figuring out how to live with it, advisors and industry trade associations said at Pershing INSITE 2015....More
  • Jun 3, 2015
    blog

    SIFMA: DOL Fiduciary Proposal “Unworkable”

    SIFMA reiterated its opposition to the Department of Labor’s fiduciary proposal on Wednesday, calling the proposed restrictions “unworkable.”...More
  • May 28, 2015
    blog

    FINRA Checking Up on Advisors' Lifestyles

    If your paycheck is wildly out of whack with your lifestyle, your firm’s compliance department and regulators may come knocking....More
  • May 28, 2015
    blog

    Next Regulators Will Be Asking to See Text Messages

    Examiners regularly ask to see email and website records, but that's about to change. Smarsh's CEO predicts in just a few years, reviews of text messages could be commonplace....More

Investment Category Sponsor Links
Planning Investment Category Sponsor Links

Sponsored Introduction Continue on to (or wait seconds) ×