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It could damage a firm’s public image, and may run counter to internal ethics policies, according to several law professors. → Read More
“(T)he volume of regulations ... are sometimes overlapping, duplicative and conflicting,” says SIFMA President and CEO Kenneth Bentsen. → Read More
“(T)he volume of regulations ... are sometimes overlapping, duplicative and conflicting,” says SIFMA President and CEO Kenneth Bentsen. → Read More
The new examination priorities list, usually released in January, would be the roadmap for OCIE activities for the year. → Read More
Successful financial advisors must have the trust of their clients, an MIT economist says. → Read More
An FPA survey found that less than a third of advisors were fully prepared to manage the risks of a cyberattack. → Read More
Gridspace says its software, from SRI Speech Labs, would eventually fit the needs of the financial advisory space. → Read More
An MIT professor and others said blockchain could have made it easier to see that the accounts were fake, but would that have been enough? → Read More
Thought leaders in the field urge firms to use caution about the quality of the data and algorithms being put into use. → Read More
Strategic tools and news that general counsel need to better manage their legal departments and fully understand the business risks companies face today. → Read More
Strategic tools and news that general counsel need to better manage their legal departments and fully understand the business risks companies face today. → Read More
Strategic tools and news that general counsel need to better manage their legal departments and fully understand the business risks companies face today. → Read More
An energy company, a university and two communications companies are among the organizations naming women as general counsel or as legal officers. → Read More