Compliance
Dodd-Frank Doesn't Have To Be Expensive, Compliance Officers Say
- Details Category: Regulatory
With "soaring regulatory costs" at the top of many advisors' list of potential headaches, it's surprising that the compliance industry sees spending staying right where it is.
Big Surprise: Advisors Nervous About Regulation Are Spending More On Compliance
- Details Category: Regulatory
Advisory firms are spending a lot more money on high-tech solutions to regulatory problems, according to the latest numbers from auditors at KPMG.
Did Stifel Nicolaus or RBC Sell Unsuitable Debt To Schools?
- Details Category: Registered Reps
Stifel Nicolaus is fighting SEC charges that its reps sold $200 million in collateralized debt to Wisconsin schools that just could not handle the risk.
Does Your Investment Adviser Firm Have a Written Information Security Plan?
- Details Category: Registered Investment Advisors
Based upon the formal and informal expectations of state and federal securities regulators, every investment adviser should consider developing a written information security plan.
Rogue Sales Assistant Costs Citigroup $500,000 In FINRA Fines
- Details Category: Regulatory
Those wondering why backoffice personnel need to be regulated should look no farther afield than Citigroup, where a rogue sales assistant just cost the firm $500,000 and plenty of goodwill.
More Articles ...
- Investment Adviser Association Identifies Top Compliance Concerns For Advisors This Year
- "Socially Conscious" RIA Pays $11 Million To Settle Ponzi Charge
- Texas Insurance Agent Faces Up To 170 Years For Selling $5 Million In Fake Annuities
- Raymond James Fights $1.7 Million Annuity "Churning" Settlement
