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Digital asset securities: broker-dealer custody issues

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…

Alexa R. Shockley, Ben Marzouk, Bria M. Adams, Clifford E. Kirsch, Cynthia R. Beyea, Holly H. Smith, Issa J. Hanna, James M. Cain, John H. Walsh, Michael B. Koffler, Susan S. Krawczyk.

Department of Labor’s Fiduciary Rule 3.0 Exemption and investment advice fiduciary definition

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, Clifford E. Kirsch, Dodie C. Kent, Michael B. Koffler, Susan S. Krawczyk.

The emerging patchwork of fiduciary investment advice regulation - Putting the pieces together

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…

Alexa R. Shockley, Ben Marzouk, Bria M. Adams, Carol T. McClarnon, Clifford E. Kirsch, Holly H. Smith, Issa J. Hanna, John H. Walsh, Michael B. Koffler, Susan S. Krawczyk, W. Mark Smith.

Department of Labor’s Fiduciary Proposal 3.0

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, Ben Marzouk, Bruce M. Bettigole, Carol T. McClarnon, Clifford E. Kirsch, Dodie C. Kent, Issa J. Hanna, Michael B. Koffler, Nicholas T. Christakos, Olga Greenberg, S. Lawrence Polk, Susan S. Krawczyk, Thomas W. Curvin, Wilson G. Barmeyer.

NAIC’s Privacy Protections (D) Working Group begins revising privacy model laws

USA - May 5 2020 On May 5, 2020, the NAIC's Privacy Protections (D) Working Group met via conference call. The Working Group was formed on October 1, 2019, under the…

Alexander F. L. Sand, Cynthia R. Shoss, Daren L. Moreira, John S. Pruitt, Mary Jane Wilson-Bilik, Maureen Emmert Adolf, Michael Bahar, Stephen E. Roth.