Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
8/9/2024
/ Administrative Law Judge (ALJ) ,
AML/CFT ,
Chevron Deference ,
Cybersecurity ,
Department of Labor (DOL) ,
Fiduciary Rule ,
Financial Institutions ,
FinCEN ,
Inspections ,
Jury Trial ,
Pilot Programs ,
Prohibited Transactions ,
Proposed Amendments ,
Proposed Rules ,
PTE 84-24 ,
PTEs ,
Regulatory Agenda ,
Regulatory Reform ,
Rule 2210 ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Seventh Amendment ,
Statutory Authority ,
Statutory Interpretation
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
5/9/2024
/ Artificial Intelligence ,
Books & Records ,
Broker-Dealer ,
Department of Labor (DOL) ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement Actions ,
FinCEN ,
Investment Adviser ,
Investors ,
Policies and Procedures ,
Prohibited Transactions ,
Proposed Rules ,
PTEs ,
Recordkeeping Requirements ,
Regulatory Agenda ,
Retirement Plan ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Technology
In a troubling development, the US Department of Labor (DOL) has announced its expectation that it will proceed to propose yet another iteration of investment advice guidance under the Employee Retirement Income Security Act...more
By all accounts, 2019 will see a number of fiduciary and best interest investment advice regulations advance at both the federal and state levels. Firms subject to these regulations will face challenges in dealing with rules...more
5/21/2019
/ Best Interest Standard ,
Broker-Dealer ,
Department of Labor (DOL) ,
Employee Retirement Income Security Act (ERISA) ,
Fiduciary Duty ,
Fiduciary Rule ,
Financial Services Industry ,
Insurance Industry ,
Investment Adviser ,
Proposed Regulation ,
Securities and Exchange Commission (SEC)
By all accounts, 2019 will see the advancement of a number of fiduciary and best interest investment advice regulations at both the federal and state levels. Firms subject to these regulations will face challenges in dealing...more
4/2/2019
/ Best Interest Standard ,
Broker-Dealer ,
Department of Labor (DOL) ,
Employee Retirement Income Security Act (ERISA) ,
Fiduciary Duty ,
Fiduciary Rule ,
Financial Services Industry ,
Insurance Industry ,
Investment Adviser ,
Proposed Regulation ,
Securities and Exchange Commission (SEC)