Regulation & Compliance
Get in-depth news and analysis on the fiduciary standard and SEC’s Reg BI, litigation impacting the financial services industry and the latest cybersecurity compliance standards.
News Coverage
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.
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.
Have Fiduciary Standards Been 'Watered Down'? SEC's Clayton, Jackson Go Toe to Toe
The SEC chairman and the Democratic commissioner testified to Congress about the new advice-standards rules.
Is There Magic in the Term 'Fiduciary'?
Two SEC officials, including Investment Management Director Dalia Blass, have differing opinions on this question.
Raymond James CEO Opposes State Fiduciary Standards
Paul Reilly explained how regulatory pressures—and state fiduciary laws in particular—are advisors' biggest concerns.
Raymond James CEO Opposes State Fiduciary Standards
Paul Reilly explained how regulatory pressures—and state fiduciary laws in particular—are advisors' biggest concerns.
DOL's New Fiduciary Rule Will Align With SEC Reg BI: Rutledge
Labor's rule will align with the SEC's in order to mitigate confusion, the EBSA head said.
Tony Robbins Defends Fiduciary Standard, Role as Financial Educator at Creative Planning
Robbins and Creative Plannings CIO Peter Mallouk define Robbins role as Chief of Investor Psychology; what it means for clients and advisors.
Reconciling Rollover Advice With Reg BI and DOL Fiduciary Standard
Advisors who provide rollover advice must exercise caution to ensure compliance with both regimes.