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The pop superstar's plea to end her 13-year conservatorship raises questions around its validity and prompts experts to rethink the whole system.
Preliminary research results indicate there's a strong correlation between genuine leaders and authentic fiduciaries.
The agency charged 21 investment advisers and six brokerages with missing delivery or posting deadlines. The customer relationship summary outlines fees, services and potential conflicts of interest and is supposed to help clients understand business practices.
The SEC has been intense about ESG and wait-and-see on Reg BI. But new Enforcement Director Gurbir Grewal supported New Jersey's fiduciary rule and may put teeth in the broker advice standard.
Legislation introduced by Reps. Anthony Gonzalez, R-Ohio, and Gregory Meeks, D-N.Y., would lift restrictions on closed-end funds' investments in unregistered securities.
Sens. Patrick Toomey, R-Pa., and Ron Johnson, R-Wisc., say proxy votes by BlackRock and State Street Global Advisors promote 'left-leaning' ESG priorities over investment returns
During a crisis, the critical fiduciary success factor is connecting with the client's heart.
Don't forget your clients' biggest assets and liabilities: Home equity and insurance are two priorities you'll want to include in the planning process, no matter your scope of engagement.
The Institute for the Fiduciary Standard on Tuesday proposed a redesigned customer relationship disclosure, known as Form CRS, that provides a side-by-side comparison of advisers and brokers.
Remanding the shareholder suit against Goldman to the appeals court leaves unresolved questions about the legal weight of conflict-of-interest pledges.
Group says nonprofessional plan fiduciaries who oversee assets in pension plans, foundations, endowments and trusts often don’t understand their responsibilities
As the two agencies release their regulatory agendas, the SEC is also proposing to revisit rules promulgated last year when the agency was headed by former chairman Jay Clayton.
The Financial Services Institute is worried about how the agency might expand Reg BI's reach. The problem is tied to setting new disclosure standards through enforcement initiative, rather than doing so through rulemaking.
The online trading app sued to overturn the state's fiduciary rule after Massachusetts accused Robinhood of manipulating customers.
It’s not whether you’re an adviser or a broker. It’s not whether you’re fee-only or fee-based. It’s not the designations after your name, or even whether you’ve taken a fiduciary pledge. What clients care most about during a crisis is whether you can be trusted.
The SEC chair deftly handled four hours of questioning from lawmakers, including a query about Reg BI. He showed he’s a deft politician who will be able to guide policy in a direction he favors.
In his first appearance on Capitol Hill since being confirmed as SEC chair, Gensler also addressed ESG and the gamification of investing.
The timing of those questions, such as 'are you a fiduciary?' is not great for advisers relying on the DOL’s temporary enforcement policy until Dec. 20, the compliance deadline for the new rules, one lawyer said.
Republican lawmakers in the House tell the new SEC chairman to avoid ‘mission creep’ in the agency's oversight of environmental, social and governance disclosures.
Meanwhile, Massachusetts amended its December complaint against the online brokerage seeking to revoke its registration in the state.
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