Regulators

Fees, expenses trip up advisers

'Investors were unable to make a fully informed decision,' SEC claims as it hints at 'ongoing' developments

Advisers would have to track portcos' greenhouse gas emissions

'Uneven field,' Chairman says, but stops short of calling for ban of payment-for-order flow

Cornerstone 'officers acted with at least extreme recklessness,' Commission claims in new suit

'The erosion of fiduciary duties has magnified these risks,' Frehrichs says

Singapore makes top three

Commission has been earthquake-proofing since Lucia decision

'Egregious, long-running, and extensive fraud that went undetected for years' was 'very profitable component,' made up 25% of firm's revenues, feds claim.

'The SEC has not brought one enforcement action,' consumer advocate says. 'That’s not because all firms are complying...'