Regulatory & Compliance (359)
Regulators Target High Speed Trading and Swap Clearing Houses
- Monday, 25 May 2015
- Regulatory & Compliance
- Written by PFA News
Risks associated with high speed trading and organizations that clear swap transactions are being scrutinized by regulators, says Federal Reserve Chair Janet Yellen. So reports Bloomberg.
Read more...Advisor Sentenced to 9 Years in Prison for Investing Scam
- Monday, 25 May 2015
- Regulatory & Compliance
- Written by PFA News
St. Louis area financial advisor Bryan Binkholder has been sentenced to nine years in federal prison and must repay victims $3.6 million after pleading guilty to wire fraud and bank fraud. So reports the St. Louis Post-Dispatch.
Read more...Corrupt Advisors: The Myths and Motivations
- Monday, 25 May 2015
- Regulatory & Compliance
- Written by PFA Staff
An overview of punishment dished out to advisors found guilty of running investment scams quickly dispels the myths about the treatment of white collar criminals in the U.S. It also shows that advisors have differing reasons for running afoul of the law.
Read more...FINRA Hunting Wall Street Wolves
- Friday, 01 May 2015
- Regulatory & Compliance
- Written by PFA News
The Financial Industry Regulatory Authority is aggressively looking to crack down on bad brokers, such as those that were portrayed in the movie “Wolf of Wall Street.” So reports WealthManagement.
Read more...Whistleblower to Get More Than $1.4M Reward
- Tuesday, 28 April 2015
- Regulatory & Compliance
- Written by PFA News
The Securities and Exchange Commission says it expects to give an unnamed compliance officer a whistle blower award that could exceed $1.4 million. So reports ThinkAdvisor.
Read more...BlackRock Hit with $12M Penalty
- Tuesday, 28 April 2015
- Regulatory & Compliance
- Written by PFA News
Hedge fund manager BlackRock Advisors will pay a $12 million penalty over charges that it failed to disclose conflicts of interest among its executives. So reports HedgeCo.Net.
Read more...Labor Department Opens Comment Period on Proposed Fiduciary Rule
- Saturday, 18 April 2015
- Regulatory & Compliance
- Written by PFA News
The Labor Department has opened a public comment period on a controversial rule that would require brokers who sell products to retirement plan investors to put their clients’ interest first. So reports Newstimes.com.
Read more...Arbitrator Hits Advisor Family Endowment Partners with $48M Judgment
- Saturday, 18 April 2015
- Regulatory & Compliance
- Written by PFA News
Advisory firm Family Endowment Partners and Lee Weiss, who is a managing partner at the firm, have been hit with a $48 million judgment from an arbitrator. So reports the Boston Business Journal.
Read more...SEC Appoints New Head of Inspections
- Saturday, 18 April 2015
- Regulatory & Compliance
- Written by PFA News
The Securities and Exchange Commission has tapped Marc Wyatt, who is the regulator’s deputy director of the Office of Compliance Inspections and Examinations, to serve as acting director of the department. So reports the Baltimore Sun.
Read more...Head of SEC Advisor Exams Leaving Post
- Tuesday, 14 April 2015
- Regulatory & Compliance
- Written by PFA News
Andrew Bowden, who oversees the Security and Exchange Commission’s examination of advisors, is returning to the private sector. So reports FinancialPlanning.
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