Regulation & Compliance

How RIAs should handle the SEC’s unannounced examinations.

The last-minute attempt to stall the project comes amid heightened concerns about cybersecurity.

Investors should avoid knee-jerk changes to their portfolios post-election, predictions for the CRE market, and Securities America teams with Jefferson National for DOL compliance.

The rule, if approved by OMB, would delay the Jan. 1 applicability date of the fiduciary rule until July 1, 2019.

The report is the third of four expected from Treasury as it completes a comprehensive review of existing financial rules, as mandated by an executive order from President Donald Trump in February.

The longtime regulatory stalwart wants to pursue opportunities in the private sector.

Fallout from the Senate vote on arbitration clauses, Douglas Boneparth takes Tony Robbins to task, and another financial advisor is charged with fraud.

By the end of the month, the SEC is expected to provide formal assurances that it won’t object if brokerages break out the cost of market analysis for their European clients, rather than bundling it together with other services.

Firms should focus on two key areas to create a unified approach to compliance and risk—surveillance monitoring and the design and control of investments.

RIAs and broker/dealers say they are spending 9 percent more money -- and a lot more time -- on compliance and regulatory issues.