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IRS updates its operational compliance list, DOL releases new proposed fiduciary rule, and more.
State Securities Charges Highlight Potential for REIT Sales Issues
A registered representative of NEXT Financial Group is accused of manipulating key figures and data used to monitor sales of real estate investment trusts to certain client groups, allegedly rendering the monitoring efforts “meaningless.”
ADP Creates Simpler Form 5500 Compliance Reporting
The firm is introducing a simplified Form 5500 compliance reporting process, marking the second phase of its compliance dashboard enhancement effort.
Former Lead FINRA Enforcer Dissects Regulator’s 2019 Priorities Letter
In a Q&A with PLANADVISER, Mirella deRose draws on her experience leading FINRA enforcement in describing what she sees as the most important elements of the regulator’s recently published member priorities list for 2019.
Advisers Increasingly Turn to Third-Party Asset Managers
Many view this as a way to make their practices more efficient, plus add value.