July 22, 2019 The Challenges of Compliance for State-Registered Advisers Are you the designated chief compliance officer of a state-registered investment advisory firm? If so, you must be clocking many…
June 5, 2019 SEC Adopts Regulation Best Interest, Form CRS; Also Issues Interpretive Releases on IA Fiduciary Duty and Solely Incidental Exception By a 3-1 vote, on June 5, 2019, the SEC acted to provide a new regulatory framework to help retail,…
April 20, 2018 Evolution of Fiduciary Rules Begins to Take Shape in SEC On April 18, 2018, the SEC voted to propose several new rules and reforms related to fiduciary standards. The package…