News & Analysis as of

Fiduciary Duty Securities and Exchange Commission (SEC) Australia

K&L Gates LLP

Asset Management Regulatory Year in Review 2024

K&L Gates LLP on

2024 was a year of meaningful regulatory change for asset managers globally. The regulatory activity was wide ranging and without a particular unifying theme. In fact, the wide, and in cases diverging focuses of key global...more

Dorsey & Whitney LLP

This Week In Securities Litigation

Dorsey & Whitney LLP on

The SEC filed its first action against a municipal adviser for breach of fiduciary duty based on a provision amended by Dodd-Frank. The agency also continued to file insider trading actions in an administrative forum....more

Goodwin

Financial Services Weekly News Roundup - April 2015 #3

Goodwin on

DOL Fiduciary Standard Proposal. The Department of Labor issued a notice of proposed rulemaking including a definition of the term “fiduciary,” a conflict of interest rule for retirement investments, new exemptions and...more

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