Featured Regulation & Compliance Stories

Legendary Ex-Fraudster Frank Abagnale Says Cybercrime Will Turn Deadly

Abagnale of "Catch Me If You Can," now an FBI consultant, tells ThinkAdvisor about his grim forecast, how he protects his own identity and why he declined three pardons.

A Timeline of the Contentious Fiduciary Rules

The SEC’s Regulation Best Interest was born out of a years-long struggle to regulate brokers as fiduciaries.

How to Avoid Client Complaints — and Lawsuits

Some clients are just litigious, but you can follow these ideas to help minimize that risk.

Fiduciary Standard

Tony Robbins Defends Fiduciary Standard, Role as Financial Educator at Creative Planning

Raymond James CEO Opposes State Fiduciary Standards

DOL's New Fiduciary Rule Will Align With SEC Reg BI: Rutledge

Is There Magic in the Term 'Fiduciary'?

Have Fiduciary Standards Been 'Watered Down'? SEC's Clayton, Jackson Go Toe to Toe

 

SEC's Regulation Best Interest

SEC's Clayton Explains 'Best Interest' vs. 'Fiduciary' Duty

The Good, Bad and Ugly of SEC's Reg BI and Advice-Standards Package

SEC Reg BI Involves 'Massive Implementation' Process: Peirce

SEC’s Reg BI Adds Unexpected Fiduciary Hurdle for Retirement Advisors

Reconciling Rollover Advice With Reg BI and DOL Fiduciary Standard

 

Litigation

Industry Digs In as Reg BI, Advice-Standards Package Arrives

Should SEC Resurrect Broad Punishments for Companies That Talk to Analysts?

XY Planning Network Sues SEC Over Reg BI

As Cannabis Industry Matures, Expect a Lot More Litigation

States' Lawsuit Against SEC Reg BI Dismissed by Lower Court

 

Cybersecurity

Don’t Let Your Cybersecurity Policy Slip

Cybersecurity (Again) Is Advisors' Top Compliance Concern

Ways Cyberfraud Can Jeopardize Your Clients' Plans

Cybersecurity Infractions on the Rise Among Advisors: NASAA

2 Steps to Building a Cybersafe RIA