Regulatory & Compliance (359)
SEC Honcho Discusses Shifting Resources to Advisor Exams
- Saturday, 27 February 2016
- Regulatory & Compliance
- Written by PFA News
The Securities and Exchange Commission’s decision to shift resources from broker exams to advisor exams has been driven by necessity, says Marc Wyatt, director of the examinations office. So reports Reuters.
Read more...SEC Would Get Funding Boost Under Proposed Budget
- Sunday, 14 February 2016
- Regulatory & Compliance
- Written by PFA News
Funding for the Securities and Exchange Commission and the Futures Trading Commission would be doubled by 2021 under the budget recently proposed by President Obama. So reports ThinkAdvisor. Read more...
Fiduciary Rule Could Create Big Increase in Orphan Brokerage Accounts
- Sunday, 31 January 2016
- Regulatory & Compliance
- Written by PFA News
The Department of Labor’s proposed fiduciary standard could create a big increase in orphan accounts, which are accounts that end up being managed by home offices rather than by broker-dealers registered reps, says Paul Sankovich, chief compliance officer at Wells Fargo Advisors Financial Network. So reports Wealth Management. Read more...
FINRA Scrutinizing Robo Advisor Risk Management
- Sunday, 31 January 2016
- Regulatory & Compliance
- Written by PFA News
The Financial Industry Regulatory Authority (FINRA) is investigating how robo advisors manage risk, says Dawn Calonge, surveillance director at the organization. So reports Financial Planning. Read more...
SEC Fines 401(k) Advisor Over 12b-1 Fees
- Sunday, 17 January 2016
- Regulatory & Compliance
- Written by PFA News
The Securities and Exchange Commission has fined Everhart Financial Group nearly $240,000 and ordered the advisory firm to appoint a chief compliance officer after the regulator determined that the company was inappropriately recommending funds with 12b-1 fees for retirement plans. So reports ThinkAdvisor. Read more...
DoL Fiduciary Standard Could Cost Industry Billions of Dollars
- Monday, 04 January 2016
- Regulatory & Compliance
- Written by PFA News
The proposed Department of Labor fiduciary standard could cost the financial industry in excessive of $2.4 billion in lost transaction revenues, which is more than double most estimates, says Morningstar Analyst Stephen Ellis. So reports ThinkAdvisor. Read more...
- Panda Security
- Cloud computing
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- Personal computer
- Collective Intelligence
- Panda Security
- Cloud computing
- Corporate Social Responsibility
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- Panda Cloud Partner Center
- Personal computer
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- Fiduciary standard
- Stephen ellis
SEC Issues Warning for Outsourced Compliance
- Sunday, 15 November 2015
- Regulatory & Compliance
- Written by PFA News
The Securities and Exchange Commission has issued a warning regarding outsourced compliance programs based on deficiencies that it has uncovered during examinations. So reports a Goodwin Proctor blog.
Read more...DoL to Restrict Certain Products in IRAs
- Saturday, 12 September 2015
- Regulatory & Compliance
- Written by PFA News
Financial services firms are awaiting a list of products that the Department of Labor may restrict from being used in IRAs as part of its fiduciary standard rule. So reports Financial Advisor. Read more...
SEC Clamps Down on Myth Buster for Pitching a Myth
- Saturday, 12 September 2015
- Regulatory & Compliance
- Written by PFA News
The Securities and Exchange Commission has filed fraud charges against Dawn J. Bennett, whose radio program focused on busting financial myths. So reports Think Advisor. Read more...
Labor Department Head Pushing Ahead with Fiduciary Rule
- Friday, 14 August 2015
- Regulatory & Compliance
- Written by PFA News
Labor Secretary Thomas Perez says he will continue to push for a fiduciary standard for retirement plan advisors even though Republicans and moderate Democrats are concerned that the rule could harm low-income individuals. So reports The Hill. Read more...
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