May 9, 2016 ... The idea is that the regulation will stop advisers from putting their own interests ...
is in the best interests of clients when they offer guidance on 401(k) plan assets,
... They'll need to craft new administrative steps and invest millions in technology
.... The DOL rule will force financial advisers to satisfy th...
Mar 29, 2016 ... The Forum is an extremely constructive force for enhancing the ... As you will
hear, much is expected of you in your oversight role, but I also fully ... their own
employees; instead, they rely on their investment advisers ... They also raise a
number of new questions for fund directors related to their oversight of ...
Jun 28, 2016 ... The Securities and Exchange Commission today proposed a new rule that would
require registered investment advisers to adopt and implement ... advance
planning and preparation can help mitigate the effects of such ... of their
occurrence, which is an objective of this rule,” said SEC Chair Mary Jo White.
Jul 7, 2016 ... ... with information on how to better protect their online investment accounts from
cyber ... Guidance for Public Companies · Guidance for Investment Advisers and
... News. SEC: Morgan Stanley Failed to Safeguard Customer Data June 8, 2016;
SEC Names Christopher Hetner as Senior Advisor to the Chair ...
Jan 4, 2012 ... Fraudsters like Anthony Fields “are quick to adapt to new technol- ... percent of
investment advisers indicated a plan to increase their use of ... will also examine
the SEC‟s current guidance on investment ...... No longer just a fad, social media
is an influential force in socie- .... actually listen to their needs.
Jul 13, 2016 ... In other non-GAAP financial measure news, a PCAOB paper discussing ... The
SEC will likely propose amended rules to require “more meaningful ... Twenty-
eight law firms issued joint guidance, here, in the aftermath of two court ...... to ask
their customers to do more than what is required by the SEC rules.
To assist advisers in conducting their risk assessments, SEC examination ... Do
you periodically re-evaluate your risk assessment to determine that new, ... Does
the implementation of your compliance policies and procedures reflect .... Also,
are any staff issued interpretive guidance, such as no-action letters, applicable?
You can also follow the latest legislative and regulatory updates on our website ...
Fee-only advisers are compensated only by the fees charged directly to their ...
UPDATE: SEC Issues Guidance on Advisers' Use of Social Media ... UPDATE:
FinCEN Makes FBAR Changes, Provides New E-Filing Form and Info (August
Jan 1, 2012 ... The SEC does not permit them, because testimonials imply that every ...
Performance advertising should comply with guidance found in the Clover
Capital no-action letter. Although no-action letters from the SEC do not have the
force of law, ... When advertising their services, investment advisors are usually ...
Apr 11, 2016 ... New DoL fiduciary requirements for conflicted advisors to follow the Best ...
means the new DoL fiduciary rule will likely ultimately drive the SEC to .... for
Advisers to act contrary to the customer's best interests; and ..... guidance with a
level of ambiguity that forces firms to shift their ..... Thanks for lis...