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ThinkAdvisor

Compliance Watch

Jan 22, 2019

'Visionary' Bogle Gave SEC a Warning About Reg BI

By Melanie Waddell

Here's what Vanguard founder John Bogle, who died Wednesday, thought of the SEC's best-interest proposal. Read More

News

Maxine Waters to Keep 'Watchful Eye' on Regulators

By Melanie Waddell

The new House Financial Services Committee leader will also be paying close attention to fintech firms. Read More

News

DOL Rollover Guidance Expected After SEC Releases Reg BI

By Melanie Waddell

Labor will need to clarify what constitutes fiduciary advice and when brokers need exemptions, Stradley lawyers write. Read More

News

Broker Barred for Concealing Commissions From Native American Tribe: Enforcement

By Emily Zulz

Meanwhile, a firm principal was barred for falsely claiming the firm had enough assets to register with the SEC. Read More

News

Sen. Warren Probes Wells Fargo, BofA on Shutdown Assistance Plans

By Melanie Waddell

Warren pressed the CEOs of big banks to provide details “on exactly which services they will be providing." Read More

News

SEC Charges 9 in Edgar Hack

By Melanie Waddell

The SEC alleges that after hacking newswire services, Ukrainian hacker Oleksandr Ieremenko turned his attention to Edgar. Read More

Save the Date

Bank & Capital Markets Tax Institute 2018

Join us at Bank & Capital Markets Tax Institute 2018 in Lake Buena Vista, FL on November 7th – 9th for the must-attend event for all forward-thinking bank tax professionals. Learn More

Resources

The Financial Advisor's Guide to Compliant IM and Collaboration

Sponsored by: Smarsh

Instant messenger makes it easier to communicate, but also runs the risk of violating regulations if you’re not careful. Learn how to connect, yet still remain compliant. Learn More

Why Compliance Officers Should Say 'Yes' To Text

Sponsored by: Smarsh

The new generation of clients and employees want to communicate through text messaging. Learn how your firm can make changes to accommodate this preference. Learn More

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