Regulation and Compliance issues for Wealth Professionals can be challenging to navigate especially when the SEC is involved. Catch the latest news and analysis on compliance updates that impact financial advisors.
The Wells Fargo CEO shouldn't be getting a bonus; he should be removed from his post, said Congresswoman Maxine Waters, chairwoman of the House Committee on Financial Services.
At a hearing on Wednesday, Maryland-based advisors told personal stories of how the state’s fiduciary bill would adversely impact their practices and their clients.
