The relationship between financial advisers and compliance teams doesn't have to be adversarial. By working together, prioritizing transparency and investing in education, we can turn compliance into ...

Compliance with the Securities and Exchange Commission's marketing rule has been named advisors' top chore for the third year in a row. That's according to the latest Investment Management Compliance ...

On August 28, 2024, Financial Crimes Enforcement Network (FinCEN) issued a final rule (the “Final Rule”) that imposes comprehensive anti-money laundering and countering the financing of terrorism ...

The Securities and Exchange Commission’s marketing rule continues to dominate compliance department concerns at investment advisor firms, according to the 2023 compliance survey conducted by the ...

The risks and benefits of using artificial intelligence (AI) to invest currently are a subject of intense debate. However, at the same time, firms are testing and implementing new ways to enhance ...

Summary Exam focus remains anchored in longstanding concerns: fiduciary duties, conflicts of interest, valuation, fees and ...

The regulator has added three new areas of review to the adviser marketing rule that has been in effect since late last year. The Securities and Exchange Commission on Thursday issued a risk alert to ...

Hearsay Systems, a digital client engagement firm for the financial services industry, has announced that it is expanding its compliance capabilities to help financial professionals make the most of ...

Can You Afford Noncompliance with SEC Regulation R... Can You Afford Noncompliance with SEC Regulation Requirements? The Three Steps for Optimal Financial Advisor Compliance How to Achieve Steady ...

Investment advisors seem to have absorbed the message that regulators are serious about the requirement that firm personnel must only use approved communications channels that are recorded and ...

A former Suntrust and M&T Securities advisor faces 30 years in prison after pleading guilty to defrauding an elderly client of more than $1 million over the course of nearly 20 years. Eddy Blizzard ...