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 Institute for the Fiduciary Standard on Wednesday released its final set of best practices for advisors, which focus on addressing conflicts of interests, increasing transparency and communicating clearly with investors...
Jack Bogle, founder and former chairman of the Vanguard Group, said Wednesday he’s optimistic that a fiduciary standard for advisors will get passed, but it may be worth compromising some of the details of the plan in order to do so...
The head of the Securities and Exchange Commission stressed the importance of collaboration among the industry and regulators on Monday, much the same way the two groups came together 75 years ago, following the Great Depression...
Wall Street’s regulatory watchdog, the Financial Industry Regulatory Authority, is off to a slow start in the amount of fines and restitution ordered from broker/dealers and financial firms during the first six months of 2015...
As part of our #FiduciaryFriday series this month, we asked the Institute for the Fiduciary Standard's Knut Rostad to provide his thoughts on where the Securities and Exchange Commission's fiduciary efforts stand. Rostad finds there is a...
The Financial Industry Regulatory Authority is proposing to reduce the wait time to publish details of advisor terminations and investigations on its BrokerCheck system. ...