Academics encourage agencies to boost their digital exam tools now, before automated platforms get even bigger.
Mr. Block last year pleaded not guilty to charges, including conspiracy and securities fraud, stemming from accounting at the REIT once controlled by Nicholas Schorsch.
Broker-dealer self-regulator reports that fines increased to $173.8 million in 2016, up from $93.8 million in 2015.
Some believe the Connecticut law could be a springboard to reform among other states.
Vice chairman and CIO of The Travelers succeeds Jack Brennan effective July 18
Attempts to suspend benefits can have disastrous results.
Interest in fiduciary-related fintech previously cooled following the election of President Donald J. Trump.
Complex rules govern who gets what and when.
Agency sets 15-day deadline for input on delaying Jan. 1 applicability date and 30-day deadline for suggestions for substantive revisions.
Men describe their knowledge of how credit scores work as good or excellent, but how accurate are they?
Plaintiffs claim practice of charging plans a percentage of assets is unreasonable.
Sole proprietors have the hardest time with succession planning.
Newsletter editor and co-founder of a money management firm uses tart observations to help build his practice.
Claimants asserted firm was negligent and breached its fiduciary duty.
The plaintiff claims the company only offered one unaffiliated investment option during the class period, resulting in excessive fees for participants.
Custodian ramping up its digital-platform offerings in race to accumulate assets.
Only one plan was assessed positively as both an investment and a savings vehicle.
In separate appearances before Senate panels, the regulators stressed the cooperation that Republican legislators and opponents of the DOL fiduciary rule are demanding.
Assessment also evaluates growth and transferability potential.
SEC chairman acknowledged that tighter budgets would require increased efficiencies to meet examination goals.
