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.
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.
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.
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.
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.