Intelligence, benchmarking, and certification for risk and compliance leaders, from the institution setting the standard since 1922.
Charles Schwab expects to pay $200 million to resolve a Securities and Exchange Commission (SEC) investigation concerning its robo-advisory business.
The financial services provider offered sparse details in a regulatory filing Friday, only stating the investigation arose out of a compliance examination and concerns “historic disclosures related to the Schwab Intelligent Portfolios (SIP) digital advisory solution.”
Jaclyn Jaeger is a freelance contributor to Compliance Week after working for the company for 15 years. She writes on a wide variety of topics, including ethics and compliance, risk management, legal,... More by Jaclyn Jaeger
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