Senators Demand Clawback Rule in Response to Wells Fargo Scandal
Executive-pay rules under Dodd-Frank offer regulators 'a unique opportunity to address these accountability issues at major banks,' wrote Sens. Warren, Menendez
Morgan Stanley Keeps Commission Retirement Accounts, Despite DOL Rule
The news comes one week after CEO James Gorman discussed the importance of giving clients choice.
How Goldman Sachs Fires Workers
Investment bank must file “WARN notices” in New York; 43 here, 109 there and pretty soon 443 employees are dismissed.
SEC Approves Intrastate Crowdfunding Rules
Final rules adopted Wednesday are designed to further facilitate access to capital in cross-state and regional securities offerings.
How to Answer When FINRA Knocks on Your Door
Forward-thinking firms are mining existing data for actionable intelligence to manage compliance risk.
Ameriprise Misses Estimates, Posts DOL-Related Costs: Q3 Earnings
Its reps now have average fees and commissions of $511,000, which is down 1% from last year.
8 Questions to Help Advisors Comply With the DOL’s Other New Rule
Labor’s White Collar Exemption Rule, which changes the rules on which employees get overtime pay, has a deadline of December 1, 2016.
Errors of Commission: AUM Fees Are Better Business
Broker-dealers' decisions to stop offering commission products in retirement accounts reopens the fees-versus-commissions debate.
SEC's Sketchy Insider Trading Definition Sparks Enforcement Actions
Fund advisors should re-examine policies to prevent insider trading given the shifting contours of insider trading law and the SEC’s aggressive enforcement.
CFPB Report Identifies Fintech Innovation Initiatives
CFPB's Project Catalyst attempts to expand agency's understanding of fintech.