Compliance

The plaintiffs allege Hilton is not using an elapsed time method dictated by a prior court decision.

“The use of mortality data that is over 40 years old could, plausibly, be unreasonable,” the ruling states.

The new regulations, which go into effect on March 6, will require broker/dealers and their agents to provide investment advice and recommendations 'without regard to the interests of...

The Department of Labor brought the underlying case and has argued successfully in opposition to the defendants’ dismissal motion, which has now been denied.

Retirees sued for denial of benefits, claiming Delta was wrong to offset their pension payments by a workers' compensation settlement they received.

Advisers will play an important role in helping plan sponsors perform their due diligence and helping participants accept annuities.

They have filed a motion to have the plaintiffs' attorneys disqualified.

The firm has successfully argued that it is entitled to negotiate and collect revenue-sharing fees from mutual fund companies in exchange for representation on its FundsNetwork platform.

This week, the California attorney general proposed a set of important changes to the California Consumer Privacy Act (CCPA), giving stakeholders until February 25 to submit their comments.

The National Association of Insurance Commissioners sees its new conflict of interest regulations as working in harmony with the Securities and Exchange Commission’s Regulation Best Interest.

Allegations in the lawsuit, which has now cleared Rockwell’s dismissal motion, echo those filed in other lawsuits challenging the actuarial assumptions used by pension plan sponsors to value...

As the enforcement date approaches for the sweeping Regulation Best Interest rulemaking package, FINRA is working hand-in-hand with the SEC to ensure effective coordination—and to support advisers working...