SEC commissioners may soon act to seek industry comment on what continued reforms they can make for money market funds, according to Bob Plaze, associate ...
Take this as more proof that your firm's Form ADV lives as the core document in the SEC's eyes. An RIA has settled with the ...
The Labor Department has filed a civil lawsuit charging breach of fiduciary duty and other ERISA violations against several defendants that worked with convicted swindler ...
The logic goes like this: If the Republicans assume control of the House following this week's national elections, it's likely Rep. Spencer Bachus (R-Ala.) will ...
It's not possible to generalize about how much information portfolio managers share within their firms. There are too many variables, especially the size of a ...
You can expect a tougher definition of what constitutes a fiduciary under ERISA should a new proposed rule from the Department of Labor be finalized. ...
SEC rules don't spell out how to obtain best execution but your fiduciary responsibilities require you to try to achieve the best deal for clients.This ...
If you're a compliance officer for a mutual fund, you have an additional four months to meet FinCEN's deadline for developing an AML program and ...
List your firm's conflicts on a sheet of paper first before you sit down to write up your new Form ADV, Part 2 brochure and ...
It'll be more than a year before the impact of a new Department of Labor rule hits the market, but when it does, investors in ...