Compliance News
Legislative and Judicial Actions
SEC approves shareholder proposal, fiduciaries of Mutual of Omaha plan settle, and more.
Reported by PLANADVISER staff
To access this premium content, please sign up for a free account!
You Might Also Like:
Most Hybrid RIAs Favor Retirement Fiduciary Standard
DPL Financial Partners, which works in commission-free annuities, released a survey of RIAs and broker/dealers regarding the DOL’s stalled fiduciary...
Treasury Launches Financial Inclusion Plan, Stresses SECURE 2.0 Provisions
The department’s report includes a strong focus on implementing programs like the Saver’s Match.
SEC’s 2025 Exam Priorities Include Fiduciary Conduct, AI Use
The regulator also listed compliance procedures and Regulation Best Interest in its list of priorities published Monday.