Since its original release as a proposed rule in April 2015 and as a final rule a year later, the Department of Labor’s (DOL's) so-called fiduciary rule — which expands the “investment advice fiduciary” definition under the...more
1/4/2018
/ Best Interest Contract Exemptions ,
Conflicts of Interest ,
Consumer Financial Products ,
Department of Labor (DOL) ,
Employee Benefits ,
Employee Retirement Income Security Act (ERISA) ,
Fiduciary Duty ,
Fiduciary Rule ,
Financial Services Industry ,
Individual Retirement Account (IRA) ,
Investment Adviser ,
Investment Management ,
Regulatory Oversight ,
Regulatory Reform ,
Retirement Plan ,
Securities and Exchange Commission (SEC) ,
Trump Administration
Private Fund Advisers, Robo-Advisers, ETFs Among SEC, FINRA Exam Priorities for 2017 -
As the new year begins, U.S. regulators highlighted the areas – some new and some familiar – which will be the focus of their...more
2/2/2017
/ Bail-In Provisions ,
Bank Recovery and Resolution Directive (BRRD) ,
Banks ,
Benefit Plan Sponsors ,
Cybersecurity ,
Department of Financial Services ,
Employee Retirement Income Security Act (ERISA) ,
ETFs ,
EU ,
Financial Industry Regulatory Authority (FINRA) ,
Insurance Industry ,
Investment Adviser ,
NYDFS ,
Private Funds ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)