Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more
SRO drops firm sponsorship requirement, among other changes
With cash flow stabilized, the national association for financial advisors is planning for recovery
SRO integration and investor protection also on the agenda
Agent deemed unsuitable after deceiving regulators about continuing education
A sneak peek at an upcoming CE course shows three time frames are key to recommendations
Audit regulator hits KPMG's Dutch division with record US$25-million fine
Association paid outstanding invoice, plus interest and majority of legal fees, SeeWhy says
Regulator reports results of first supervisory reviews at planner/advisor titling organizations
The national financial advisors association alleges it was overcharged