All Charles Schwab articles

  • Charles Schwab

    Charles Schwab sets aside $200M in SEC robo-advisory probe


    Charles Schwab disclosed in a regulatory filing it expects to pay $200 million to resolve a Securities and Exchange Commission investigation concerning its robo-advisory business.

  • Blog post

    Charles Schwab settles with SEC for failing to file SARs


    Charles Schwab on July 2 agreed to pay the Securities and Exchange Commission a civil penalty of $2.8 million for failing to file suspicious activity reports on questionable transactions by its investment advisers.

  • Blog post

    Is Social Media Considered ‘Real Monitoring’?


    A recent survey by Compliance Solutions at Charles Schwab found that compliance officers spend 11 hours per week monitoring their employees’ personal brokerage accounts, while half are closely monitoring social media platforms. One of the main challenges that compliance officers face is chasing data, which are “owned” by other departments. ...