Like many of us, the Investment Adviser Association enjoyed a reversal from the pangs of the pandemic. According to the IAA’s latest IRS Form 990—obtained ...
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It may have taken 13 years, but the SEC has finally approved a rule Congress ordered it to promulgate in the 2010 Dodd-Frank law: prohibiting ...
Odds are your firm will suffer a computer breach, if it hasn’t already—and you may not even know it
Here’s a tip. Ask your accounting department for a list of vendors your firm pays and double-check to ensure they’re really your vendors
Do you feel lucky? When you play Blackjack, do you request a card when holding 12? Or when shooting dice, are you more likely to ...
If your firm sells insurance products, you could be feeling lately like you’re being hit by a one-two regulatory punch given the Labor Department’s recent ...
This is proposed model disclosure language from the DOL that advisers could use if final amendments to PTE 2020-02 come to pass
“It will go to court, undoubtedly,” forecasts one observer. “I think it could go all the way to the Supreme Court” if the Biden Administration ...
While the Labor Department’s latest crack at establishing a new ERISA fiduciary duty definition grabs the headlines, the agency also moved to revise several prohibited ...