USA - January 5 2022
The National Association of Insurance Commissioners (NAIC) held its 2021 Fall National Meeting from December 11 to 16 in San Diego, California. The…
Maureen Emmert Adolf, Michael Bahar, Daniel P. McCarty, Daren L. Moreira, John S. Pruitt, Stephen E. Roth, Alexander F. L. Sand, Cynthia R. Shoss, Mary Jane Wilson-Bilik
USA - January 12 2021
As 2020 came to a close, the issue of how digital asset securities can be custodied by US broker-dealers became clearer, at least from a regulatory…
John H. Walsh, Bria M. Adams, Cynthia R. Beyea, James M. Cain, Issa J. Hanna, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk, Ben Marzouk, Alexa R. Shockley, Holly H. Smith
USA - January 4 2021
Department of Labor's Fiduciary Rule 3.0 Exemption and investment advice fiduciary definition December 2020 Introduction Department of Labor's…
Adam B. Cohen, Carol T. McClarnon, Dodie C. Kent, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk
USA - August 20 2020
As anticipated, this year has seen a number of fiduciary and best interest investment advice regulations at both the federal and state levels. Firms…
Carol T. McClarnon, W. Mark Smith, John H. Walsh, Bria M. Adams, Issa J. Hanna, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk, Ben Marzouk, Alexa R. Shockley, Holly H. Smith
USA - July 7 2020
More than 3,500 days have passed since the US Department of Labor (DOL) upended the financial services industries with its first, self-initiated…
Adam B. Cohen, Carol T. McClarnon, Wilson G. Barmeyer, Bruce M. Bettigole, Nicholas T. Christakos, Thomas W. Curvin, Olga Greenberg, Issa J. Hanna, Dodie C. Kent, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk, Ben Marzouk, S. Lawrence Polk