Results for "compliance"

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5 reasons you're not reading this cybersecurity article

March 8, 2019

Cybersecurity articles are notoriously unpopular with financial advisers compared with other industry news, unless it's something drastic like Voya's recent slip-up exposing advisers' Social Security numbers on its website. When it comes to...

Starting a new advisory firm: How to outsource and structure your practice

March 12, 2019

This is the second in a three-part series detailing what I would do if I were to move to a new town and start an advisory practice from scratch. In my first installment, on marketing, I described how an adviser should go about acquiring a steady...

Thorough internal investigations of sexual harassment claims are critical for advisory firms in the wake of #MeToo

January 8, 2019

Financial institutions conducting sexual harassment investigations in the wake of the #MeToo movement need to proceed cautiously. As Wall Street has come under scrutiny on how it handles complaints of sexual misconduct, compliance and human...

Finra focuses exam priorities on investor-protection threats

January 22, 2019

Emerging investor-protection threats like the online sale of unregistered securities, and other topics such as whether new exchange-traded products are suitable for customers, are highlights of this year's Finra examination priorities list....

SEC exams to focus on investor fees, adviser conflicts of interest in 2019

December 20, 2018

The Securities and Exchange Commission will target disclosures of fees and expenses to retail investors as well conflicts of interest in its 2019 examinations of investment advisers and brokers, the agency said Thursday. The SEC's Office of...

Why Laurie Nardone Chose Independence

December 17, 2018

In this final installment, InvestmentNews Content Strategy Studio discusses the journey to becoming an independent Registered Investment Advisor (RIA) through the lens of three advisors' unique experiences. Below, Laurie Nardone, CFP® and managing...

Finra publishes list of brokers, firms responsible for unpaid arbitration

December 4, 2018

It's only three weeks until Christmas, but the Financial Industry Regulatory Authority Inc. is already showing who is on its naughty list. Finra is publishing the names of every firm and individual responsible for unpaid customer arbitration...

CAT implementation uncertainty gives broker-dealers strategic options

March 8, 2018

Broker-dealers have been encouraged by the efforts of CAT NMS — a consortium of 22 self-regulatory organizations — to extend the effective date for implementation of the SEC's Rule 613 consolidated audit trail reporting. By replacing a variety...

What's at stake with a branch audit?

October 1, 2018

Each year, or every couple of years at offices on a lighter schedule, your home office (or branch manager/office of supervisory jurisdiction) sends out an auditor to go over all of your files. Typically, the auditor is friendly and seems quite...

9 ways advisers may have custody without knowing it

October 5, 2017

As complexity in the financial advice business goes, there is nothing quite like the infamous custody rule, which includes a gauntlet of trigger points that can deem a registered investment adviser as having custody. According to SEC filings,...

Seeking to protect client assets, SEC may have hurt the client

July 12, 2017

For many people, the term "inadvertent custody" might describe the feeling a parent has upon finding someone else's child in the family room a half hour after the birthday party has ended. In the world of investments, the term "inadvertent custody"...

Finra hits State Street with $1.5 million fine for electronic record-keeping violations

July 12, 2017

The Financial Industry Regulatory Authority Inc. has censured State Street Global Markets and fined it $1.5 million for failing to maintain electronic brokerage records in a non-erasable and non-rewritable format, known as WORM, as required...

What Elon Musk can teach advisers about social media

October 15, 2018

Social media is hard, and success requires patience, dedication and a lot of work. There's no definite "right way" to use Facebook, Twitter, LinkedIn or any other platform. There's no handbook for advisers on how to attract a million followers...

SEC bars former Ameritas adviser after fraud trial finds him guilty

June 9, 2017

Responding to a jury that found Sheik F. Khan guilty of securities and investment adviser fraud, the Securities and Exchange Commission has barred the former Ameritas adviser from the securities industry. (More: DOL fiduciary rule takes effect,...

SEC charges Alpine Securities with failure to file suspicious activity reports

June 5, 2017

The Securities and Exchange Commission has charged a Salt Lake City-based brokerage firm, Alpine Securities, with securities law violations related to its alleged practice of clearing transactions for microcap stocks that were used in manipulative...

Jay Clayton rejects Trump tweet calling for less frequent earnings reports

October 11, 2018

Securities and Exchange Commission chairman Jay Clayton just tapped the brakes on President Donald J. Trump's push to let U.S. companies report earnings less frequently. "I don't think quarterly reporting is going to change for our top names...

Finra slaps broker with six-month suspension for failing to report $1 million in tax liens

May 16, 2017

Former broker Kevin Richard Graetz has settled a Finra complaint alleging that he failed to report federal and state tax liens against him totaling more than $1 million over almost seven years. The Financial Industry Regulatory Authority Inc.'s...

Fired Waddell & Reed broker barred by Finra

March 15, 2017

The Financial Industry Regulatory Authority Inc. on Tuesday barred a former Waddell & Reed Inc. broker who was fired in January 2016 for violating the firm's professional conduct, supervisory and compensation policies. The broker, Paul D. Stanley,...

Finra bars rep under investigation for client forgery

June 4, 2018

The Financial Industry Regulatory Authority Inc. has barred former Northwestern Mutual Life Insurance Co. representative Donnell Noah Bowen for failing to provide requested information and for failing to appear at a Finra hearing. (More: NY...

Finra orders Barclays Capital to pay $13.75M over mutual fund sales

December 29, 2015

Finra continued its recent push to hold broker-dealers accountable for the suitability of product sales and saying today that it had reached a settlement with Barclays Capital Inc. in which the firm would pay restitution of more than $10 million...

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