The DoL’s fiduciary rule is only likely to bring more scrutiny of individual brokers.
“I could never end up in jail,” many executives might well think. And they’d have a point.
Don't be fooled by a relative lack of regulatory action so far.
FINRA has given tangible form to the regulatory “culture movement.”
The battle for bigger budgets.
Using letters to bring about change in the regulatory/compliance world.
In the compliance and regulation world, sniffing out problems and doing the right thing can lead to personal benefits.
The FCA has sparked political fireworks by dropping a review of banking culture.
CCOs in New York are going to have their names on the line. Literally.
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