Business Continuity Planning

A rulemaking barometer that compliance professionals have paid a great deal of attention to in the past will get streamlined going forward. The SEC’s next published ...

Treasury Department Secretary Steven Mnuchin believes the regulatory framework for the asset management industry “can be significantly improved.” With the costs of asset management expected ...

KMH Wealth Management CCO Phyllis Keller was thinking this past spring of clever ways to conduct a mock disaster recovery drill (IA Watch, March 30, ...

Odds are you have only months before the SEC will mandate that you must have a written transition plan. Many advisers lack them. Listen to ...

Murphy’s law was on full display again. An adviser in Jacksonville, Fla., revved up its generator hours before the full brunt of Hurricane Matthew was ...

Reputational damage, congressional inquiries, lawsuits and clawbacks of bonuses are among the repercussions dripping from Wells Fargo’s embarrassing admission that staff opened thousands of accounts ...

A number of industry heavy hitters are in lockstep agreement on the SEC’s proposed new rule that would require investment advisers to adopt and implement ...

Repeated swap reporting violations by Deutsche Bank AG have led the firm and the CFTC to seek the intervention of a Court-appointed monitor to ensure ...

Open up any SEC proposed or final rule and you’ll find the actual rule in the back. But the lead up to the formal regulatory ...

while it is essential that we engage in recovery and resolution planning, our goal is never to get to a situation where either of those ...