How to Establish a Culture of Compliance
SEC Chairwoman White’s “felt and feared” and “Giuliani-style approach” comments indicate that regulators are getting aggressive. Be ready.
5 Big Regulatory Changes Coming in 2014
Want to prepare your practice for potential changes in the year ahead? Keep your eye on these five areas.
Rep. Waters Reintroduces SEC User Fees Bill
Rep. Maxine Waters, D-Calif., on Friday made another go at allowing the SEC to collect user fees to fund advisor exams.
Despite Fiduciary Critics, Schapiro and Borzi Charge Ahead
Two of the nation’s top regulators—Mary Schapiro and Phyllis Borzi—continue to face a barrage of criticism over their decision to do what they believe is best for investors: expanding the definition of who’s a fiduciary.