SEC Fiduciary Duty

The SEC’s proposed Regulation Best Interest comes in at more than 100 pages (BD Watch, April 19, 2018) but that hasn’t stopped critics from swiftly ...

The SEC must have gotten something right with its three fiduciary duty proposals if it could both upset and please those who wish for a ...

May 9's Federal Register contains the three SEC proposals tied to fiduciary duty. Each of them carries the same deadline for your comments: Tuesday, Aug. 7 ...

The same day a federal court decision vacating the Labor Department’s fiduciary duty rule was due to take effect, the DOL released a statement continuing ...

One of the challenges facing the industry and investors is “there are too many regulatory ‘cooks in the kitchen,’” according to SEC Chairman Jay Clayton. ...

With regard to the obligations of investment advisers, we are also proposing an interpretation to address in one release and reaffirm and, in some cases ...

A variety of questions are already beginning to “percolate” as the industry wraps its head around the significant package of fiduciary duty-related proposals advanced by ...

Remarks at the PLI Investment Management Institute 2018 Dalia Blass, Director of the Division of Investment Management   New York, NY April 30, 2018 Introduction ...

An advantage found in the SEC’s proposed interpretation of the IA fiduciary duty is that the legal concept now gets brushed together all in one ...

Four pages may seem incredibly short when you have to stuff it with reams of data and required language while keeping it “easy to read” ...