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UK regulator looking to use AI, machine-learning to enforce financial compliance - CNBC
Effectively converting, probably initially our regulatory reporting rules , into truly unambiguous rules that machines can interpret and implement directly," he told an audience at London Fintech Week, a financial technology (fintech) conference, on.

When you should (and shouldn't) text your financial adviser - MarketWatch
The financial firm Morgan Stanley MS, -0.57% made headlines this month when it announced it would allow its advisers to text with their clients using the secure texting platform Twilio. Morgan Stanley debuted the service in early June with several.

Fate of California Rule Overhaul Now in Court's Hands - Bloomberg BNA
California's multiyear initiative to update its standards governing lawyer conduct shifted to the state supreme court at the end of March when the California state bar sent the court a complete package of proposed professional conduct rules . ... George.

This New Rule Makes It Harder for Your Broker to Take Advantage of You. Here's What You Should Know - Money Magazine
This new rule will upend your 401(k), IRA and your relationship with your advisor CNBC.

House votes to prevent disgruntled customers from being able to sue their bank - MarketWatch
CFPB Arbitration Rule Summary: Class Action Waivers Prohibited in Broad Range of Consumer Credit Transactions The National Law Review.

Crunch as 60% of bosses say staff can't get pension advice
Research from Financial Conduct Authority ... that there are “probably enough advisers with the specialist qualifications, the problem may be finding them because for obvious reasons they may be shy about publicly advertising their services.”.

Recent Developments on DOL Fiduciary Rule - The National Law Review
How Much Will the DOL Rule Cost Advisors ? Financial Advisor IQ.

Julie Jason's Your Money: From CFP to WMS, an examination of financial designations
Third, as the alert points out, "designations can be faked." FINRA has a rule (Rule of Conduct 2210) prohibiting financial advisers from "referencing nonexistent or self-conferred degrees or credentials or referencing legitimate degrees or credentials in a.

The 7 tough questions you need to ask your financial adviser - MarketWatch
Our company, and many of our competitors, has committed to following the fiduciary standard, which demands higher accountability from advisers , including acting only in a client's best interest. But is that enough to protect clients? Unfortunately.

The six questions to ask your financial adviser after the rules changed
Some advisers, however, are not playing by the rules. The City watchdog, the Financial Conduct Authority (FCA), last month said some firms were still receiving payments from life insurance companies which could influence their recommendations to clients.

How financial advisers can help fight elder financial abuse - MarketWatch
There's more awareness of senior investment fraud than ever before. Still, most cases of senior financial fraud are not discovered before they cause serious problems, according to a new survey of state securities regulators, who believe broker-dealers.

This financial adviser lost his office in a fire — but he didn't lose a single client - MarketWatch
In 2012, Kirk Francis got a late-night telephone call from the police with bad news: The building that housed his office was on fire. An eight-minute drive later, he found a chaotic scene as firetrucks were fighting a blaze that damaged the left side.

Facebook, Google Bound to Change Handling of Politics Ads - Marketing Executives - U.S. News & World Report
Obama tried to give Zuckerberg a wake-up call over fake news on Facebook Washington Post.

FCA chief met Aramco CFO two weeks before proposing new IPO rules
two weeks before the regulator first published its thoughts about creating new listing rules to benefit sovereign-owned companies. The details of the meeting were revealed by Andrew Bailey, the head of the Financial Conduct Authority, as he was grilled on.