Builder of Investment Models Deviates From Blueprints Employee’s Rogue Remodeling Costs Builder Plenty -
The SEC’s recent order instituting administrative and cease-and-desist proceedings (OIP) against registered...more
5/8/2025
/ Algorithms ,
Annuities ,
Compensation & Benefits ,
Employee Benefits ,
Enforcement Actions ,
Financial Services Industry ,
Investment ,
Investment Adviser ,
Investment Funds ,
Investment Management ,
Life Insurance ,
Registered Investment Advisors ,
Retirement Plan ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
On January 28, 2025, FINRA issued its 2025 Annual Regulatory Oversight Report, providing a detailed look into FINRA’s current regulatory oversight of member firms and their registered personnel....more
2/14/2025
/ Annual Reports ,
Annuities ,
Anti-Money Laundering ,
Artificial Intelligence ,
Cybersecurity ,
Data Breach ,
Financial Crimes ,
Financial Industry Regulatory Authority (FINRA) ,
Fraud ,
Investment Fraud ,
Popular ,
Regulatory Oversight ,
Regulatory Violations ,
Risk Management ,
Third-Party Risk
Artificial intelligence (AI) can and is already changing how firms and registered representatives recommend financial products to customers. AI has the potential to enhance recommendations that registered representatives...more
2/7/2025
/ Artificial Intelligence ,
Consumer Financial Products ,
Employee Benefits ,
Financial Institutions ,
Financial Services Industry ,
FinTech ,
Investment ,
Investment Adviser ,
Machine Learning ,
Retirement ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation