Compliance

Dodd-Frank Doesn't Have To Be Expensive, Compliance Officers Say

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With "soaring regulatory costs" at the top of many advisors' list of potential headaches, it's surprising that the compliance industry sees spending staying right where it is.

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Big Surprise: Advisors Nervous About Regulation Are Spending More On Compliance

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Advisory firms are spending a lot more money on high-tech solutions to regulatory problems, according to the latest numbers from auditors at KPMG.

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Did Stifel Nicolaus or RBC Sell Unsuitable Debt To Schools?

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Stifel Nicolaus is fighting SEC charges that its reps sold $200 million in collateralized debt to Wisconsin schools that just could not handle the risk.

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Does Your Investment Adviser Firm Have a Written Information Security Plan?

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Based upon the formal and informal expectations of state and federal securities regulators, every investment adviser should consider developing a written information security plan.

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Rogue Sales Assistant Costs Citigroup $500,000 In FINRA Fines

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 Those wondering why backoffice personnel need to be regulated should look no farther afield than Citigroup, where a rogue sales assistant just cost the firm $500,000 and plenty of goodwill.

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