Ex-CFO of American Realty Capital Found Guilty of Fraud
The former ally of Nicholas Schorsch was found to have "fudged the books" at the publicly traded REIT.
Cybersecurity Requires a Collaborative Approach
News headlines remind us that cyberattacks are among our greatest global threats. That's why cybersecurity requires collaboration between industry and regulators.
Trump Administration Rebuffs Challenge to Fiduciary Rule in Appeals Court
U.S. asks Fifth Circuit largely to uphold the rule as regulators move to revise it, or further delay implementation.
What's Next for the DOL Fiduciary Rule?
A Morningstar regulatory specialist says changes to enforcement and even a delay in the full rollout date are possible.
4 Portfolio Models to Help Advisors Segment Clients
These models are examples of advisors acting as "buying agents" focused on the "best outcomes" for clients, says Fidelity's Sanjiv Mirchandani.
The Debate Over ‘New Evidence’ and the Fiduciary Rule
In an email to ThinkAdvisor, Harold Evensky had some choice words on a recent Chamber of Commerce study that purported to show the rule’s harm.
Washington Abuzz With New CFP Board Standards, Treasury Reg Reform Moves
Recent developments in Washington that should grab advisors’ attention include the Treasury department's first report on regulatory reform, among other things.
The DOL Fiduciary Rule: Managing the Transition Period
It is critical for advisors to be aware of the sometimes convoluted timeline and compliance requirements of the DOL fiduciary rule.
High Court Shuts Door on Claims Against Insurance Salesman
The decision hinged on whether the advisor had a fiduciary relationship with the plaintiffs.
SEC Charges Oil and Gas Company With Accounting Fraud: Enforcement
The SEC also sanctioned a former COO of Oxford City Football Club in an offering fraud.