When it comes to the possibility of a uniform advice standard for advisers and brokers coming from the SEC, one attorney argues “things are still very much in...
Leadership at both the DOL and SEC have signaled a willingness to work together to find complementary approaches to managing advisers’ conflicts of interest—but it will be a...
The department believes an oversight bureau, created to assess the financial strength of annuity providers, would help employers and advisers become more comfortable including annuities in retirement plans.
Joining a number of other regulatory agencies, the SEC has issued important easements and compliance relief provisions for companies and individuals impacted by three recent hurricanes striking the...
In conversation with PLANADVISER, cybersecurity attorney and former SEC staffer Marlon Paz suggests it is absolutely essential for advisory firms to have a senior executive “not just appointed...
The SEC’s enforcement action comes at a time when the agency has been focusing more specifically on brokers’ and advisers’ interactions with senior investors.
The head of retirement and investment solutions at Pershing discusses the impact that uncertainty around the fiduciary rule is having on firms and clients throughout the DC plan...
The SEC chair issued only a brief statement on his intention to work with DOL officials on reforming conflict of interest regulations—but his language is revealing.
Passage of the CHOICE Act by the House Financial Services Committee could signal a further blow to conflict of interest regulations adopted by the Obama administration.
As a new leader takes the helm at the SEC, advisers wonder whether the regulator’s recent focus on retirement industry conflicts of interest will be relaxed.