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The DOL fiduciary rule will forever change financial advice, and the ...

www.investmentnews.com/article/20160509/FEATURE/160509939/the-dol-fiduciary-rule-will-forever-change-financial-advice-and-the

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...

SEC.gov | The Fund Director in 2016: Keynote Address at the Mutual ...

www.sec.gov/news/speech/chair-white-mutual-fund-directors-forum-3-29-16.html

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 ...

SEC.gov | SEC Proposes Rule Requiring Investment Advisers to ...

www.sec.gov/news/pressrelease/2016-133.html

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.

SEC.gov | Cybersecurity

www.sec.gov/spotlight/cybersecurity.shtml

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 ...

It is Time for Investment Advisers to Join the Conversation About ...

repository.jmls.edu/cgi/viewcontent.cgi?article=1768&context=jitpl

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.

In Case You Missed It - Interesting Items for Corporate Counsel ...

www.stoel.com/in-case-you-missed-it-interesting-items-for

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.

Questions Advisers Should Ask While Establishing or Reviewing ...

www.sec.gov/info/cco/adviser_compliance_questions.htm

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?

Additional Legislative/Regulatory Topics - AICPA

www.aicpa.org/interestareas/personalfinancialplanning/newsandpublications/pages/othermatters.aspx

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 2013)

Think Advisor

www.thinkadvisor.com/2012/01/01/advertising-advisor-services-and-credentials

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 ...

Advisor's Guide To DoL Fiduciary And The New Best ... - Kitces.com

www.kitces.com/blog/best-interests-contract-exemption-bice-and-dol-fiduciary-bic-requirements/

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...

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In The News - See Client Ratings of and search for Investment ...

millionairecorner.com

Republican Dream Team Blog, January 20, 2016 - Does the Sarah Palin Endorsement ..... Will New SEC Guidance Force Advisers to Listen to their Customer?

IM Guidance Update - Securities and Exchange Commission

www.sec.gov

Jun 28, 2016 ... In this guidance update, the staff of the Division of Investment ... they typically are organized by their primary investment advisers (also ... ensure that an entity's critical functions and business activities can continue to ..... Commission proposed a new rule under the Advisers Act that would require SEC-.

Guidance on the Testimonial Rule and Social Media - Securities and ...

www.sec.gov

(“testimonial rule”) to their use of social media.3 The guidance, in the form of ... partial client list that does no more than identify certain clients of the adviser ... viewing of all public commentary and updating of new commentary on a real-time .... any SEC-registered investment adviser (or investment adviser that is required.