Regulation & Compliance

But are their numbers reliable?

Agency has no plans to strip out the controversial ability for investors to bring litigation to enforce the best interest contract

When policies and procedures are inadequate or disregarded, compliance mistakes are likely to occur.

Too many advisors are still getting their records wiped clean, according to a new report from the Public Investors Arbitration Bar Association. The study found between 2012 and 2014, about 88 percent of brokers succeeded in purging past...

The regulatory environment is such that there is significant added scrutiny on senior account transactions.

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The finalized fiduciary rule will serve as a catalyst for innovation in the retirement advice industry, Labor Secretary Thomas Perez said on Friday. ...

Advisors should expect the Labor Department to issue its finalized fiduciary rule in the first quarter of 2016 without too many substantial changes. During a fi360 webinar on Thursday, CEO Blaine Aikin and senior policy analyst Duane Thompson ...

The Financial Industry Regulatory Authority is asking the industry to provide feedback on rule proposals aimed at helping firms and financial advisors deal with alleged financial exploitation of senior investors...

The financial crisis exposed just how vulnerable clients can be when there is no fiduciary standard.