Two recently introduced bills would restrict or discourage classes of retirement plan investments. Is this the right policy?
Read MoreINSIGHTS
Following a recent review of 130 Investment Advisers, the SEC’s Division of Examinations cited numerous deficiencies and warned of “financial harm to clients”. Our article identifies the most common flaws noted in the DOE’s latest Risk Alert.
Read MoreAvoiding Notable Compliance Issues that were identified by the SEC.
Read MoreThe first Form CRS (Client Relationship Summaries) have been delivered and filed by investment advisors. But regulators are suggesting that firms could do a lot better.
Read MoreLauri London quoted in the April 13, 2020, Regulatory Compliance Watch newsletter.
Read MoreLauri London shares an update on the Form CRS Risk Alert issued by the SEC’s Office of Compliance Inspections and Examinations.
Read MoreNew IRA Rules May Change Your Estate Plan.
Read MoreWhile the SEC thinks that it clarified Reg BI with its recently published, 42-page interpretation, we think that it raised questions for investment advisers that could force them to upgrade their policies, procedures, and compliance programs.
Read MoreCan plan fiduciaries prove that participants read the required disclosures about investments? The Supreme Court weighed in on the issue of “actual knowledge” of a plan participant.
Read MoreCan your plan records be hacked? Plan fiduciaries need to focus on cybersecurity:
Read MoreThe SEC's proposed new advertising rule presents significant changes for RIAs' Policies, Procedures, Books & Records requirements and testing.
Read MoreThe SEC thinks that it “clarified” Reg BI when it published a new 42-page interpretation. But to us, it looks like investment advisers may need to make a wholesale upgrade of compliance programs. Read more…
Read MoreNew Guidance from OICE encourages changes to Investment Advisers’ compliance programs to address specific risk. Off-the-Shelf compliance programs don’t cut it anymore.
Read MoreWill other courts impose pension liabilities on private equity funds?
Read MoreStates shouldn’t have a role in the regulation of pension plan fiduciaries. Nevada needs to step back and craft an ERISA exemption.
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