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.
In its latest round of FAQs, the DOL clears up retirement-plan advisors' confusion around 408(b)(2) disclosures and recommendations to increase contributions and plan participation.
New York's Department of Financial Services set a series of rolling deadlines for companies to become compliant with the new standards. The first is imminent.
A federal appeals court judge asked a lot of questions of the Department of Labor, focused particularly on prohibited transaction exemptions that already exist under ERISA.
Amid all the other Washington drama, the Investment Adviser Association held a Lobbying Day to discuss the fiduciary rule, advisor exams, cybersecurity and more.
Financial disclosure forms from Randal Quarles and Joseph Otting show both men generated substantial wealth from the industry they will now be tasked with regulating.
FINRA representatives have asked at least one of the attorneys involved in the dispute for information about how the breach occurred and how Wells Fargo failed to detect it.
