Compliance

Ten firms were fined for using unapproved off-channel devices for business related communications.

The proposal directs RILA providers to use registration documents that better explain the annuity’s features and complexities.

The Social Security COLA would not be updated on the scheduled timeline of October 12 during a government shutdown.

The SAFER Banking Act addresses several banking and workplace topics for the companies.

Comment periods would remain open for the AI and safeguarding proposals, but comments would not be reviewed in real time.

The adviser for a mutual fund argues against alleged Liquidity Rule violations because the company was not responsible for the...

The Social Security Administration will officially announce the adjustment rate on October 12, and it is projected at less than...

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

The infrastructure fund allegedly did not disclose conflicts of interest and took actions without regard for their impact on investors.

A Texas judge, appointed during the Trump administration, ruled that the DOL does not violate ERISA by permitting ESG in...

With student loan payments set to resume, Democrats in Congress proposed a bill last week that would prevent the government...

New rule means funds will have to derive 80% of their value from investments related to their official names.

Members of both parties have criticized the SEC’s definition of ‘covered technology’ when it comes to using AI in financial...

If communications concern plan assets, they may be discoverable during litigation.

Compliance experts point to the regulator’s focus on third-party providers and its marketing rule stringency in the recent exam notice.