USA - February 9 2021
Many companies that transitioned to a work-from-home environment in early 2020 may have reasonably anticipated a return to the normalcy of in-office…
Chelsey A. Dawson, Cheryl L. Haas, Emily P. Gordy.
USA - November 30 2020
Financial advisors have long used the Certified Financial Planner designation as an indicator to potential clients that they meet high standards of…
Chelsey A. Dawson, Cheryl L. Haas, Emily P. Gordy.
USA - November 18 2020
On November 9, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced the results of its examination of nearly 40…
Elizabeth J. Hogan, Lindsay Brandt Jakubowitz.
USA - June 29 2020
On June 1, 2020, the U.S. Court of Appeals for the 11th Circuit issued Isaiah v. JPMorgan Chase Bank, N.A., a precedential opinion that draws sharp…
Nellie E. Hestin.
USA - October 21 2019
On June 5, 2019, the SEC adopted Regulation Best Interest (“Reg BI”), which requires broker-dealers and associated persons to make recommendations…
Aline McCullough, Cheryl L. Haas, Emily P. Gordy.