Investment Advisers

Home » Blog » Investment Advisers - Page 6
Compliance Steps Fiduciaries Should Take Now to Help Ensure Continued Adherence with the DOL’s New ERISA Exemption
Blog

Compliance Steps Fiduciaries Should Take Now to Help Ensure Continued Adherence with the DOL’s New ERISA Exemption

May 14, 2021 by

Professionals who work with “Plans”, as defined under the Employment Retirement Income Security Act of 1974 (ERISA), and for those that recommend certain investments to individual retirement accounts (“IRA”), such individuals must be mindful to update their firm’s policies and procedures now that the U.S. Department of Labor (DOL) is proceeding with the adoption of a fiduciary exemption that can impose restrictions upon and prevent fiduciaries from engaging in certain activities.

… Read More

The Many Recent Signals that Foreshadow a More Aggressive SEC in Terms of Enforcement Action and Stiffer Penalties for Wrongdoers
Blog | Regulatory Examinations & Enforcement Counsel

The Many Recent Signals that Foreshadow a More Aggressive SEC  in Terms of Enforcement Action and Stiffer Penalties for Wrongdoers

April 19, 2021 by

The first few months of 2021 have marked a clear shift in how the U.S. Securities and Exchange Commission (SEC) could soon start holding corporations to a much higher standard of accountability for actions that harm investors. A central theme of the SEC’s emerging mindset, as stated in a March 9, 2021, speech by Commissioner Caroline Crenshaw is the belief that corporate culture comes from the top and there is a strong need to incentivize companies to foster a culture of compliance, not misconduct.

… Read More

Blog | IA Marketing Rule Counsel

New Advisers Act Advertising Rule to Undergo Further Review

February 10, 2021 by

Investment Advisory firms that are eagerly awaiting the revisions recently adopted by the U.S. Securities and Exchange Commission (SEC) to the archaic Advisers Act Advertising Rule previously anticipated to become effective this spring, will have to wait a bit longer.  The Advertising Rule prepared and approved under the former Trump Administration is now required to undergo review by the newly installed Biden Administration.

… Read More

1 … 3 4 5 6 7 8 9 … 35