Regulation & Compliance

The regulatory organization’s interest in firms’ communications on 'crypto asset products and services' follows the collapse of FTX last week.

The collapse of FTX will catalyze regulators to come into the space aggressively, but the crypto industry will be better off on the other side of it, argues Bitwise Chief Investment Officer Matt Hougan.

Make sure you can defend your TAMP selection in terms that benefit your clients. If you can’t, move now before an SEC examiner knocks on your door.

As the world awaits the final result of the US midterms, the finance industry is trying to figure out how vulnerable the outcome will leave it.

In a discussion with WealthManagement.com, Hugh Berkson said the organization will continue to raise awareness of the issue of unpaid arbitration awards and the alleged misuse of forced arbitration clauses by RIAs.

“The market does not care who wins. The market does not care about the horserace," said Charles Schwab's managing director covering legislation and regulation. Yet there is a laundry list of federal policies brewing that will impact advisors.

The commission’s rule update on advertising and marketing reaches its compliance date on Friday, and experts are warning firms to make sure they’re ready.

We are living in an era of radical new financial concepts, and cookie-cutter regulation only reduces choices by investors, businesses and intermediaries.

SEC Chair Gary Gensler told securities lawyers on Wednesday that his agency would continue to pursue violations wherever and however they occur.