Compliance

Displaying 1164 results

Topic

DOL posts record financial recoveries for benefits plans

More than $3 billion was returned in fiscal 2020 through investigations, voluntary corrections and other programs, according to the agency

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SEC Democrats object to no-action letter on brokers borrowing securities

Lee, Crenshaw say the agency is providing leeway to violate the rule, putting investor funds at risk

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401(k) plans should allow cross selling: Report

Hearts & Wallets report finds participants want advice that their employer-sponsored plans simply can't provide

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XYPN advocates for consistent regulation of fee-for-service advisory model

The group's lobbying effort must address states’ concerns about charging without delivering

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SEC warns firms not to omit disciplinary history from Form CRS

Top agency officials say staff members are finding compliance shortcomings in the disclosure document

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Clayton touts SEC enforcement achievements despite pandemic disruptions

The agency imposed sanctions totaling more than $4 billion and examined 15% of RIAs

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Why is ESG used most in retirement plans? It’s not performance

Institutional investors use environmental, social and governance factors to align with stakeholders, according to a report by Callan

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Critics pummel SEC effort to boost reporting threshold for money managers

Opponents say the higher level for reporting stock holdings deprives investors and advisers of crucial information

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SEC charges RIA with making false statements about its finances

Marietta, Georgia-based Lindner Capital Advisors and its principal were also charged with compliance deficiencies

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Complying with state senior reporting statutes

Firms must consider the interplay between different reporting laws in each state to maximize their immunity