An SEC Update: Marketing Rule Implementation and Reg BI Enforcement
One expert attorney says the SEC’s recent charges against a brokerage firm demonstrate the potency of Regulation Best Interest’s ‘compliance...
EXCLUSIVES
A Capitol Hill Update With SSGA’s Melissa Kahn
The leader of State Street Global Advisors’ public policy work says there is significant momentum building in Congress behind another...
Volatility, Inflation and Stagflation Concerns in Context
To understand what may come next during a turbulent period in the markets and the global economy, experts consider the...
Ready for PTE 2020-02 July 1 Enforcement?
The July 1 enforcement date for the Department of Labor’s new best-interest rollover documentation requirements has been widely publicized, but...
Building Practice Culture: The Next Generation
As an adviser, Janine Moore says those in the next generation must have access to good mentors and peers whom...
Building Practice Culture: Mentors and Mentees
The relationship between mentor and mentee should be mutually beneficial, as both work to accomplish their many shared and individual...
SEC Enforcement Approach Imperiled by 5th Circuit
While the ultimate outcome may be settled by the Supreme Court, the 5th Circuit’s ruling in Jarkesy v. SEC could...
Building Practice Culture: Showing You Care
As a practice leader within Morgan Stanley, Dan Becraft says it is a critical part of his job to help...
How ESG Investing Is Regulated Globally: Rules vs. Principles
A major new report published by ISS ESG suggests regulation remains a major driver of the growth of responsible investment...
Investing in a ‘Circular Economy’
A new report suggests investors should seek to better understand the concept of ‘resource intensity’ and pursue opportunities to reduce...
Facing Criticism for ESG Rules, SEC Unlikely to Back Down
Attorneys who track financial regulations say SEC Chair Gary Gensler has no qualms about pushing forward big, ambitious proposals, even...
Is the Traditional Fiduciary Insurance Model at Risk?
One legal professional at a fiduciary insurance firm argues that the ‘indiscriminate nature’ of recent ERISA lawsuit filings could eventually...
New RMD Rules Mean the End of an Era for IRAs
Advisers should revisit planning for those who were counting on the 'stretch‘ IRA.
Insurance Executives on the Evolving Retirement Landscape
Leaders at CUNA Mutual Group and Allianz Life speak about the prospects for legislative and regulatory progress in 2022, especially when it comes to the broader distribution of...
Welcome to the Rising Rate Environment
In the face of sustained inflation and the Federal Reserve’s push to boost interest rates, asset managers and advisers are...