Compliance November 14th, 2023 House Republicans Propose Budget Bill That Would Repeal DOL Rules Budget proposal for the DOL would prevent the regulator from implementing its ESG rule, independent contractor status and proposals on...
Compliance November 13th, 2023 United Airlines Sues Advisers for ‘Scheme’ to Defraud 401(k) Pilot Participants A lawsuit filed in Minnesota federal court claims an independent advisory deceived participants by taking loans from their accounts for...
Compliance November 13th, 2023 New Bill Would Require Private Fund Disclosures for Chinese Investments Senators seek to stymie Americans’ retirement savings being invested in China and other "countries of concern."
Compliance November 10th, 2023 How Advisers Can Help Close the Wealth Gap Panelists at the CFP Board’s Diversity Summit provided insights into how financial planners and advisers can reach disadvantaged communities.
Compliance November 10th, 2023 Navigating ESG: Forward Thinking Panelists discuss how new ESG issues will inform investors’ focus and opportunities going forward.
Compliance November 10th, 2023 Advisers Selling Product, Not Process, in Fiduciary Rule Crosshairs Experts discuss the ripple effect of the Department of Labor’s proposed fiduciary rule amendments.
Compliance November 9th, 2023 PBGC Releases 2024 Mortality Tables The data inform potential withdrawal liabilities and benefit transfer amounts under ERISA.
Compliance November 9th, 2023 Assessing Regulations and Best Practices for ESG Investing ESG experts discuss the current regulatory and business landscapes regarding ESG reporting and investing.
Compliance November 8th, 2023 Trade Groups Call for Longer Comment Period for Fiduciary Rule Proposals The proposals would apply fiduciary status to one-time investment recommendations such as rollovers and annuity sales.
Compliance November 7th, 2023 Hamas Financing Brings Regulator’s Attention to Cryptocurrency Representatives of the Treasury Department and the CFTC said at a SIFMA conference that crypto is a general compliance issue,...
Compliance November 6th, 2023 CFA Releases New Definitions for Sustainable Investing Terminology intended to create system to communicate responsible investment practices accurately and consistently, according to CFA.
Compliance November 6th, 2023 Small Businesses See Many Obstacles to Plan Creation, Lack Awareness of SECURE 2.0 A survey from Capital Group found that businesses with fewer than 50 employees often lacked awareness of key provisions in...
Compliance November 2nd, 2023 House Republicans Subpoena ESG Advocates The Judiciary Committee has called the CEO of As You Sow to testify in December.
Compliance November 2nd, 2023 Maximum Benefit and Contribution Limits Table 2024 Maximum Benefit/Contribution Limits for 2019 through 2024, with a downloadable PDF of limits from 2014 to 2024.
Compliance November 1st, 2023 Safeguarding Proposal Remains Unpopular in Investment Industry The same criticisms of the proposal linger, but the SEC is continuing to push ahead.