Regulation & Compliance

The special charter proposal levels the playing field by applying the same statutes that currently apply to national banks to those fintech companies that choose to apply for the national charter.

At the very least, don’t expect more stringent enforcement. Maybe a lot less.

While the DOL fiduciary rule gets all the attention, there are lesser-known rules coming for RIAs, including anti-money laundering and mandated succession plans, according to a panel of regulatory experts at the TD Ameritrade Institutional...

Many industry executives expect the trend towards fiduciary standards of advice to continue, driven by market forces if not regulatory action. Others are not so sure.

Critics of the fiduciary rule aren’t defending the conflicts that the rule brings to light. Instead, they complain that the rule is too burdensome.

Janus files with the SEC to introduce fiduciary rule compliance classes, Oranj upgrades its digital advice platform and a former MetLife financial planner is sentenced for robbing banks.

The fiduciary world is the new normal, FSI's Dale Brown said at the OneVoice Conference.

Wealth Management asked several industry leaders: “What do you view as the key developments that affected plan consultants in 2016?”

Sen. Elizabeth Warren sent a letter to 33 wealth management firms, asking if they planned to reverse changes they have made to be compliant if there was a delay.

Bank executive's don't expect Trump to overturn Dodd-Frank.