This is the joint SEC/FinCEN proposal that would require SEC RIAs to maintain a CIP or customer identification program
It didn’t take long for a group representing insurance agents to sue the Labor Department over its new fiduciary duty rule
You don’t have to go to the islands, but private funds based in the Cayman Islands must hold at least one governance meeting annually under ...
Here’s an idea: put up a poster in your office that warns of elderly financial fraud—one that shares a story of a grandmother ripped off ...
A CCO tells of recently discovering that an online tool also can produce automatic transcriptions of meetings, and send the paperwork directly to your e-mail
The new DOL rule makes clear that 'a recommendation to move from a commission-based account to an advisory fee-based account (or vice versa) would be ...
Heaped on top of the Labor Department’s new fiduciary duty rule, comes several revisions to existing ERISA PTEs, including the vital rollover exemption used by ...
The DOL maintains its new rule is 'generally consistent' with the SEC’s fiduciary duty interpretation for advisers and Reg BI for B-Ds
Risk alert identifies shortcomings in advisers' P&Ps which "resulted in gaps for preventing violations of the marketing rule, books and records rule, or both"
This is the Department of Labor's 2024 final rule redefining a fiduciary under ERISA