WASHINGTON - One year after banking regulators issued guidelines for investment sales through branches, examiners are still spotting problems with compliance.

That was the stern message that senior regulators from the Federal Reserve and the Office of the Comptroller of the Currency delivered Tuesday at a Consumer Bankers Association conference here.

Subscribe Now

Access to authoritative analysis and perspective and our data-driven report series.

14-Day Free Trial

No credit card required. Complete access to articles, breaking news and industry data.