Compliance Consult 2017 PLANADVISER May/June

SEC Weighs In On ‘Robo-Advisers’

The commission sees several quagmires

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Compliance

February 26th, 2025

According to the Investment Company Institute, the most significant changes were made without public input.

Compliance

January 14th, 2025

The SEC has charged nine investment advisers and three broker/dealers for violations of federal recordkeeping laws.

Compliance

December 20th, 2024

A group of academics created the group to seek the “wisest possible federal securities laws and policies,” and backed Trump’s...

practice management 2017 PLANADVISER May/June

Shielding Yourself

Deciding whether to be a 3(21) or a 3(38) fiduciary

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In Practice

February 29th, 2024

What new advisers need to know about being a fiduciary, which can be plan trustees, plan administrators or members of...

Compliance

February 13th, 2024

PLANADVISER interviewed Tim Hauser of EBSA on the retirement security proposal.

Compliance

September 25th, 2023

Five circuit courts have now heightened the standard for 401(k) participant lawsuits, but ERISA attorneys do not expect lawsuits challenging...