In January 2018, FINRA released its annual examination priorities letter. The letter addresses a variety of areas that are important to U.S
At the end of each of the last several years, we have shared with readers our list of anticipated areas of focus for the coming year. This particular
On September 13, 2016, the House Financial Services Committee of the United States House of Representatives (the "FSC")1 formally released H.R. 5983
On April 6, 2016, the U.S. Department of Labor (DOL) released its final rule defining who is a fiduciary in connection with investment advice that is
In December 2010, the Securities and Exchange Commission extended an interim final rule regulating an investment adviser’s principal transactions with its clients.
In the current economic environment, many banks have lost significant capital and are under immense pressure, regulatory and otherwise, to recapitalize.
On October 21, 2010, the Department of Labor issued a proposed regulation that could significantly expand the categories of persons considered fiduciaries as a result of their providing investment advice to plans subject to ERISA or to participants or beneficiaries of such plans.
A number of important regulatory, legislative, and market developments arising since the onset of the financial crisis have made this an ideal time to revisit your key corporate governance and disclosure policies in order to determine whether changes should be made to reflect current law, standards, or best practices, and to determine whether additional policies should be implemented in light of recent events.
At the end of December 2009, the SEC adopted on an interim final basis Rule 206(3)-3T.