The CFTC amends the portfolio requirement thresholds for a qualified eligible person and makes other technical changes

Advisers caught in a spate of enforcement actions over the new marketing rule, dissecting your coming AML obligations under FinCEN's new rules, lessons from recent ...

The dissemination of ads that included "untrue or unsubstantiated" claims and testimonials, endorsements, or third-party rankings lacking required disclosures were among violations

The latest B-D case touches on customer identification, account opening, and deficient regulatory technology

RCW and industry regulators have a plethora of AML guidance for you

The SEC found that confidentiality agreements contained provisions that impeded clients from reporting potential securities violations to the Commission

FINRA charged the firm failed to establish WSPs reasonably designed to comply with the SRO's fingerprinting requirements

The SEC asserts Randolph Abrahams made numerous misstatements in newsletters shared with investors

A new enforcement action sends the message that any increase in fees constitutes a material change that needs to be disclosed

This is FinCEN's amendment to the Bank Secrecy Act to require IAs to develop and implement AML programs