As C. Dabney O’Riordan departs the SEC's Asset Management Unit for Quinn Emanuel, she spoke with WealthManagement.com on what the industry can expect from regulators in the coming year around enforcement of new rules: 'I expect the SEC is going to...

Pro-bono law clinics for small clients and low-value claims help keep the brokerage industry honest. But funding has run out, and they are getting harder to find.

James Millegan faces as much as five years in prison after a jury found him guilty of evading $2.5 million in income taxes, according to the Department of Justice.

An aggressive regulatory push by the SEC is behind the 'major shift' in resources, according to Hearsay Compliance Principal Bill Simpson.

The marketing technology firm first announced the service at the 2021 AdviceTech.LIVE virtual conference.

The record amount of civil penalties was driven in part by the fines against some large Wall Street firms for failing to preserve text message communications on personal devices.

The regulatory organization’s interest in firms’ communications on 'crypto asset products and services' follows the collapse of FTX last week.

The collapse of FTX will catalyze regulators to come into the space aggressively, but the crypto industry will be better off on the other side of it, argues Bitwise Chief Investment Officer Matt Hougan.

Make sure you can defend your TAMP selection in terms that benefit your clients. If you can’t, move now before an SEC examiner knocks on your door.

As the world awaits the final result of the US midterms, the finance industry is trying to figure out how vulnerable the outcome will leave it.