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.
Corporate culture is a top down approach. Management at member firms should take a close look at their corporate culture to ensure that what is being preached is actually being practiced.
In early 2013, the Securities and Exchange Commission began an examination of mutual fund distributions, 12b-1 and sub-transfer agent fees, known as sub-TA fees. But panelists at the SIFMA Private Client conference in Chicago last week said the...
(Reuters) - A panel of investor advocates said on Thursday they were developing a proposal for U.S. securities regulators that will make it easier for retail investors to conduct online background checks of financial professionals before hiring...
All's quiet. | Copyright Chris Hondros, Getty Images
Over half of Americans (52 percent) are not currently investing in stocks, according to a new study by Bankrate.com. But it’s mostly because they don’t have the money, with 53 percent ci...
The Securities and Exchange Commission’s increased used of its internal administrative court came under fire Thursday, as Republications raised questions about this venue’s ability to maintain due process and objectivity...
In its latest effort to authenticate its broker records database, the Financial Industry Regulatory Authority is cracking down on firms who have brokers with undisclosed liens and judgments. ...
(Reuters) - The top U.S. consumer watchdog said on Tuesday that arbitration clauses used by companies to dodge lawsuits take away consumers' rights to sue in courts and do not provide much relief to them...
A lot of RIA firms have, in recent years, spent heavily on new technology to protect themselves against cyber attacks. But sometimes they use more money than sense, a panel of speakers at the Investment Adviser Association's compliance...
Despite FINRA backing off a bid to become the regulator for registered investment advisors, some still fear the authority's scrutiny if the Securities and Exchange Commission moves forward with third-party examinations...
