News & Analysis as of

Consumer Financial Products › Regulatory Oversight › Investment

Carlton Fields

Contingent Deferred Annuities: Time for Renewal?

Carlton Fields on

Contingent deferred annuities (CDAs) represent an interesting approach to securing lifetime income but have struggled for recognition in the marketplace since their introduction more than a decade ago. Recent developments,...more

Carlton Fields

FINRA Adds On to Its Annual Oversight Report - Building in RILA Sales Guidance for First Time

Carlton Fields on

In a section titled “Annuities Securities Products,” FINRA’s 2025 Annual Regulatory Oversight Report, issued on January 28, 2025, addresses regulatory obligations related to the sales of variable annuities (VAs) and...more

A&O Shearman

FCA findings on multi-firm review of trading apps

A&O Shearman on

The UK Financial Conduct Authority (FCA) has published a webpage summarising the findings from its multi-firm review of trading apps, together with a press release. The FCA notes that this is a growing sector allowing more...more

Hogan Lovells

Spain: The MiFID II delegated regulations on notification of qualifying holdings and authorisation requirements and their...

Hogan Lovells on

In the mid-80s, through the adoption of Council Directive 85/611/EEC of 20 December 1985 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in...more

Carlton Fields

SEC Committee Advocates for Summary Mutual Fund Shareholder Reports

Carlton Fields on

On December 7, the Investor Advisory Committee of the Securities and Exchange Commission (SEC) adopted a recommendation that the SEC seriously explore the development of a summary disclosure document for mutual fund companies...more

Robins Kaplan LLP

Your Daily Dose of Financial News

Robins Kaplan LLP on

More on the Saudi crackdown initiated by Crown Prince Mohammed bin Salman over the weekend, including the government’s move to confiscate and freeze more than $800 billion in assets from the detailed princes and other...more

Carlton Fields

Certified Financial Planner Board Proposes Fiduciary Obligations for All CFP Financial Advice

Carlton Fields on

In June, the Certified Financial Planner (CFP) Board released proposed revisions to its standards of professional conduct that would require CFPs to adhere to a fiduciary standard at all times when providing any "financial...more

Carlton Fields

The Fiduciary Rule Status Update

Carlton Fields on

On April 8, the Department of Labor published the so-called "Fiduciary Rule." It defines who is an employee benefit plan’s "fiduciary" for purposes of the Employee Retirement Income Security Act (ERISA) and the Internal...more

8 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide