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SEC and Treasury want RIAs to be responsible for fighting money laundering

SEC and Treasury want RIAs to be responsible for fighting money laundering
financial-planning.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from financial-planning.com Daily Mail and Mail on Sunday newspapers.

Mark uyedaRichard chenAndrea gackiGail bernsteinUs treasury financial crimes enforcement networkTreasury departmentBrightstar law groupInvestment adviser associationExchange commissionUs treasury department onFinancial crimes enforcement networkSocial securityNew york basedLaw groupAdviser risk

SEC, FinCEN propose customer ID program for investment advisers

SEC, FinCEN propose customer ID program for investment advisers
complianceweek.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from complianceweek.com Daily Mail and Mail on Sunday newspapers.

New yorkUnited statesAndrea gackiGary genslerMark uyedaGail bernsteinTreasury departmentFordham law school in manhattanBank secrecy actInvestment advisers associationFinancial crimesRegulatory compliance summitFordham law schoolCounsel gail bernstein

DOL Fiduciary Rule Faces First Lawsuit in Texas Court

The Federation of Americans for Consumer Choice and several co-plaintiffs filed a lawsuit in Texas opposing the DOL fiduciary rule.

Denton countyUnited statesMicah hauptmanGail bernsteinMax schatzowJulie suDale brownMarc cadinFederation of americansOpponents of the labor departmentConsumer federation of americaFinancial services instituteInvestment adviser associationNational association of insurance commissionersCircuit courtLabor department

DOL Critics, Supporters Sound Off on Final Fiduciary Rule

Critics and supporters of the DOL's newest fiduciary rule spoke out about changes from the proposal and the potential for litigation.

United statesNancy leamondMicah hauptmanJulie suMarc cadinJoe bidenDale brownGail bernsteinMax schatzowRetirement instituteAmerican council of life insurersCircuit courtNational association of insuranceLabor departmentInvestment adviser associationUs chamber

Finding a financial advisor can be daunting We rank the top firms

A financial advisor can be critical when the stock market and economy are volatile, Here's a look the top firms, according to USA TODAY and Statista

United statesSanta monicaNew yorkEileen stevensGail bernsteinFederal reserveExchange commissionInvestment adviser associationFinancial industry regulatory authorityNew york city based westfuller advisorsStreet partnersCorient private wealthInvestment adviser public disclosureInvestment adviserFinancial firmsGail bernstein