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Fiduciary Standard Rule for Retirement Accounts Approved

USA - April 12 2016 The Department of Labor has given final approval to its long-anticipated "fiduciary standard" regulation. The new rule - which has been in the works…

SEC Seeks Additional Resources for Examination and Enforcement in FY 2017 Budget Request

USA - April 7 2016 The Securities and Exchange Commission (SEC) recently presented the President's Fiscal Year 2017 budget request for the SEC to Congress. Among the…

OCC Issues New Guidance and Policies on Enforcement Actions and Civil Monetary Penalties Against Institutions and Individuals

USA - April 4 2016 The Office of the Comptroller of the Currency (“OCC”) recently released new guidance on the process it uses when considering enforcement actions…

FINRA Seeks Input From Brokerage Firms on ‘Cultural Values’

USA - February 23 2016 FINRA has sent a sweep letter to selected broker dealers in order to learn more about how firms "establish, communicate and implement cultural values…

Proposed Fiduciary Rule for Retirement Accounts One Step Closer to Reality

USA - February 4 2016 Last spring, the U.S. Department of Labor proposed a controversial new rule which would govern retirement accounts, including IRAs and qualified…