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MML Investor Services will pay $4.75 million to settle claims that it failed to supervise an employee who played a pivotal roll in the meme ...

How firms manage their obligations related to information collected from acquired customers is also being sought

Compliance could benefit from checking the chairman's social media posts

A peer shares the RIA's compliance manual, complete with numerous P&Ps

olicy issues are "part of a larger story about the intersection of finance and technology"

Use this form to survey staff on their use of social media

A subscriber-request story

The curious case of an airline baggage handler

RELEASE Number 7965-19 July 10, 2019 Federal Court Permanently Enjoins Defendants and Orders Them to Pay Penalties and Restitution for Bitcoin Solicitation Fraud, Impersonating a ...

Today’s advisers play in a whole different media landscape than their predecessors.   Take Blackrock Financial Management ($833B in AUM) in New York. Its latest ...