No Rules Yet, but Prepare Now
Regulatory issues that aren't getting the attention they need, argues MarketCounsel CEO Brian Hamburger.
Moynihan Remains BofA Chairman After Vote, Fends Off Critics
Bank of America CEO survives campaign by pension funds to split his roles.
Burned by Oil Trade, Debt Investors Think Twice
Low oil prices make hedge funds and private equity firms leery of lending to the industry.
FINRA’s 5 Biggest Fine Categories in First Half of 2015
FINRA is on track to impose $75 million in fines this year, the second most since the financial crisis.
SEC, FINRA Enforcement: Newswire Hackers to Pay $30M
Meanwhile, a former Morgan Stanley broker pleaded guilty to trading on insider tips written on napkins.
‘Our Reputation Stands on Its Own’
One of your reps suddenly leaves, taking several HNW clients and disparaging your firm. How do you mitigate reputational risk? How do you respond?
SEC to Start Second Round of Cyber Exams, Issues Risk Alert
"All firms should carefully review this alert to see how they would answer these questions," says Brian Rubin of the law firm Sutherland.
Ritholtz: Keep Waiting for Wall Street Crime Crackdown
By what must be the sheerest of coincidences, Barry Ritholtz says, most statutes of limitation on white-collar crimes committed during the financial crisis have expired.
Outgoing SEC Commish’s Chief of Staff Named to Credit Rating Post
Smeeta Ramarathnam, Luis Aguilar's chief of staff, will work in the Office of Credit Ratings; Commissioner Gallagher plans to leave by Oct. 2.
5 New Compliance Headaches for Advisors, BDs
As Labor Day approaches, here are five big compliance developments advisors may have missed in recent months.