Compliance

Last week, Binance, a crypto exchange, was hit with a record-breaking Treasury settlement.

The complaint is another sign to 401(k) plan fiduciaries to take care with digital asset availability in plans, according to...

Of their advisers, 2 were also fined and 1 suspended for 6 months for account churning and excessive trading.

The new rule would permit brokers to use projected performance in communications about qualified retirement plan investing.

The disclosure forms have been updated for 2023 filings to be completed in 2024.

Many plans start participation at age 21; new legislation would require inclusion of anyone 18 or older.

The resolution would prevent a government shutdown and keep the DOL funded through February 2.

The regulator pushed back on industry requests to extend comment time for the controversial proposal; the period will still end...

Budget proposal for the DOL would prevent the regulator from implementing its ESG rule, independent contractor status and proposals on...

A lawsuit filed in Minnesota federal court claims an independent advisory deceived participants by taking loans from their accounts for...

Senators seek to stymie Americans’ retirement savings being invested in China and other "countries of concern."

Panelists at the CFP Board’s Diversity Summit provided insights into how financial planners and advisers can reach disadvantaged communities.

Panelists discuss how new ESG issues will inform investors’ focus and opportunities going forward.

Experts discuss the ripple effect of the Department of Labor’s proposed fiduciary rule amendments.

The data inform potential withdrawal liabilities and benefit transfer amounts under ERISA.

ESG experts discuss the current regulatory and business landscapes regarding ESG reporting and investing.

The proposals would apply fiduciary status to one-time investment recommendations such as rollovers and annuity sales.

Representatives of the Treasury Department and the CFTC said at a SIFMA conference that crypto is a general compliance issue,...

Terminology intended to create system to communicate responsible investment practices accurately and consistently, according to CFA. 

A survey from Capital Group found that businesses with fewer than 50 employees often lacked awareness of key provisions in...