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Compliance Watch

Sep 22, 2019

News

Scalia Grilled on DOL Fiduciary Rule at Hearing

By Melanie Waddell

A senator questioned the Labor secretary nominee about whether he would recuse himself from crafting the rule. Read More

News

Advisors' Social Media Use Surges Despite Compliance Challenges

By Melanie Waddell

Relief could be coming: The SEC says it may soon look into modernizing the Advertising Rule. Read More

News

FINRA Enforcement Chief Schroeder to Leave Later This Year

By Melanie Waddell

FINRA will search both internally and externally for her replacement. Read More

News

New DOL Fiduciary Rules Out in Next 2 Months: Attorneys

By Melanie Waddell

Many in the industry want clarification on how new SEC rules will affect ERISA fiduciary status, two lawyers write. Read More

News

Raymond James to Pay $15M to SEC for Improper Charges

By Melanie Waddell

Three units improperly charged advisory fees on inactive accounts and excess commissions for UITs, the SEC said. Read More

Commentary

How to Avoid Client Complaints — and Lawsuits

By Mike Patton

Some clients are just litigious, but you can follow these ideas to help minimize that risk. Read More

Resources

What's Driving Advisors to Move in the New Market Landscape?

Sponsored by: Fidelity Investments

Get insights into the mindset that’s driving today’s advisors to make a move--and help realize their unique business vision. Learn More

Disrupted Communications: How to achieve and maintain compliance for your organization's electronic communications data

Sponsored by: Smarsh

It’s easy for modern communication methods to expose your firm to risk. Find out how to ensure you remain compliant! Learn More

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