Compliance
Compliance
Certified Financial Planner Board Issues Crypto Guidelines
The nonprofit warns financial planners that crypto-related assets “can be speculative and volatile.”
PANC 2022: Reg BI Compliance Tips From the SEC
The enforcement of Regulation Best Interest is currently one of the major projects at the Securities and Exchange Commission.
Regulatory & compliance | education
Continuous Education
Plan committee members’ fiduciary training should never end.
Compliance Consult
ESG Investing Under ERISA
DOL narrows focus in final rule to pecuniary factors.
Regulatory & compliance | litigation
A Question of Liability
When the rash of litigation yields scant legal precedent, what can advisers take away?
ERISA vista
Compliance
The Latest Word on ESG
In terms of plan investing, fiduciary duty continues to come first.
SEC Investor Advisory Committee Calls for Stronger Best Interest Regulations
The committee says the SEC should explicitly explain that Regulation Best Interest is a fiduciary duty shared equally by advisers and broker/dealer to act in their customers’ best interest.