Tag: compliance

Advisers face major compliance risks if they can no longer oversee—or explain—their AI output.

iSolved found that 64% of surveyed brokers said AI is enhancing compliance tracking and reporting.

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

A federal judge in California ruled for Live Nation in a motion to move the case to arbitration.

The new disclosure requirements for public companies will require time and resources to meet cybersecurity needs.

Euclid Fiduciary’s mid-year litigation report finds fewer filings, as plaintiff law firms catch up on ’22, but new entrants using...

11 Wall Street firms admit wrongdoing and agree to pay $289 million in fees for improperly using messaging systems like...

Investment advisories rank the marketing rule as the ‘hottest’ topic for the third year in a row, followed by cybersecurity...

Jonathan Curley, a former RIA, will perform due diligence on firms Pensionmark is looking to acquire.

More than 20% of advisers said clients spend between a quarter and half of their time on plan administrative tasks...

Alight expands financial wellness platform to include family members; C2P Enterprises announces women’s program; Equitable enhances buffered annuity suites; and...

Investment and retirement advisers—especially smaller shops—should take the time remaining to provide their feedback about the SEC’s proposed outsourcing rule,...

The DOL announced a final rule that retirement plan fiduciaries can consider climate change and other ESG factors when selecting...

401(k) participants brought the suit, alleging that Quanta kept certain underperforming funds in its plan menu.

The judge ruled that even though Home Depot may have followed an imprudent process for choosing investments, the plaintiffs were...

The target of a new Employee Retirement Income Security Act is a plan sponsor with more than 20,000 participants that ‘periodically’ reviewed the plan’s investment options to ensure...

A registered representative of NEXT Financial Group is accused of manipulating key figures and data used to monitor sales of real estate investment trusts to certain client groups,...

The firm is introducing a simplified Form 5500 compliance reporting process, marking the second phase of its compliance dashboard enhancement effort.