Among other things, this proposal would mandate that advisers must verify a customer’s or an entity’s identity 'within a reasonable time before or after the ...
Amended Reg S-P would require the customer notice of a breach that would have to be “in writing,” either on paper or electronically
Nearly 80% don’t showcase specific investment advice. Advisers have not embraced sharing testimonials (92% don’t), endorsements (85% don’t) or third-party ratings (83% don’t)
It didn’t take long for a group representing insurance agents to sue the Labor Department over its new fiduciary duty rule
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 ...
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The DOL maintains its new rule is 'generally consistent' with the SEC’s fiduciary duty interpretation for advisers and Reg BI for B-Ds