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 a court filing, Wells Fargo argued there was "no evidence in the record" supporting the existence of a verbal agreement between its counsel and FINRA to exclude certain arbitrators from their cases.
With the continued focus on index providers and the growth of index-based investment products, increased regulation is inevitable, writes the former CEO of S&P Dow Jones Indices.
Autumn Jordan and Manuel F. Pinazo, who previously worked at Merrill Lynch Wealth Management, were among those who applied for assistance under one of the government’s COVID-19 relief programs "based on false and fraudulent representations and...
John Law will serve 10 years in prison for participating in the nationwide scheme, in which he and his co-conspirators misappropriated millions in clients' funds.
The SEC’s efforts to standardize climate risk disclosures represent a first step in helping advisors cut through the noise and effectively evaluate companies’ risks and opportunities across various sectors.
