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Hiring and wage & hour law in Colorado
  • Holland & Hart LLP
  • USA
  • February 22 2018

A structured guide to hiring and wage & hour law in Colorado

New SEC Enforcement Initiative Encourages Advisers to Self-Report Mutual Fund Share Class Violations
  • Baker & Hostetler LLP
  • USA
  • February 22 2018

On February 12, 2018, the Division of Enforcement of the U.S. Securities and Exchange Commission (“SEC”) announced a new initiative to encourage

Stranger Danger: When Companies associated with a Fraudster should be Liable for the Fraudster’s Breach of Fiduciary Duty
  • Baker McKenzie
  • Canada
  • February 20 2018

The decision in DBDC Spadina Ltd. v. Walton, 2018 ONCA 60 provides insight on when corporations that are de facto under control of a fraudster can be

SEC Announces Examination Priorities for 2018
  • Haynes and Boone LLP
  • USA
  • February 16 2018

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) has announced its 2018 examination priorities. The

First State Charges Broker-Dealer in Connection with Violations of DOL Fiduciary Rule
  • Morrison & Foerster LLP
  • USA
  • February 16 2018

On February 15, 2018, the Enforcement Section of the Massachusetts Securities Division (the “Division”) of the Office of the Secretary of the

SEC Encourages Advisors to Self-Report Fiduciary Violations by June 12, 2018
  • Bradley Arant Boult Cummings LLP
  • USA
  • February 14 2018

The SEC announced a self-reporting initiative for investment advisors who admit violations of the federal securities laws relating to certain mutual

House Committee Passes Mutual Fund Litigation Reform Act, Which Would Heighten Standards for Litigation Under Section 36(b)
  • Vedder Price PC
  • USA
  • February 13 2018

On January 8, 2018, the U.S. House of Representatives Financial Services Committee voted in favor of introducing a bill, referred to as the Mutual

Past, Present and Future of the DOL Fiduciary Rule
  • K&L Gates
  • USA
  • February 8 2018

The Department of Labor’s (“DOL”) fiduciary rule (“DOL Fiduciary Rule”) became applicable June 9, 2017, after an intense multiyear regulatory saga

PBGC Expands Missing Participants Program to Include Terminated 401(k) Plans
  • Baker Botts LLP
  • USA
  • February 2 2018

The Pension Benefit Guarantee Corporation (the “PBGC”) recently issued a final rule that expands its Missing Participants Program (the “Program”) to

Key Components of DOL Fiduciary Rule Delayed Through 2019
  • Womble Bond Dickinson (US) LLP
  • USA
  • February 1 2018

On January 2, 2018, the U.S. Department of Labor postponed key provisions of its Fiduciary Rule for the next 18 months. The Fiduciary Rule was