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 RIA entered a non-prosecution agreement with the Justice Department’s Antitrust Division last year over charges it conspired with American Century Investments not to hire each other's employees.
Open, honest and candid discussion on DC year-end results, Pontera's deal with Captrust, Michael Kitces on the DOL rule, EBSA recoveries and the awakening of plan sponsors.
TIAA IRA customers paid more than $900,000 in combined expenses that could have been avoided by investing through a “brokerage window” with lower-cost share classes, according to the regulator.
Anya Coverman, president and CEO of the Institute for Portfolio Alternatives, talks about potential policies at the federal and state levels that could stem advisors’ ability to use alternative investments in client portfolios.
The Investment Adviser Association is worried the potential rules would duplicate protections that already exist, according to the organization’s general counsel.
John J. Woods pleaded guilty last year to a scheme that spanned more than a decade and harmed hundreds of investors throughout the country, according to the Justice Department.
