Tag: Compliance services

A publication from Dechert LLP and RR Donnelley addresses advertising by registered investment advisers (RIAs) so they can keep compliant.  

Socialite, a social media platform from Actiance that allows people in regulated industries to share content and delegate access, has several new features.

Mesirow Financial Investment Strategies’ Fiduciary Partnership Services are now available through Vanguard Retirement Plan Access.

The Principal Financial Group created a website designed to make it easier for third-party administrators (TPAs) to manage client retirement plans online.

Fidelity launched a plan sponsor website, Global Solutions, which will assist companies in managing employee stock plans in multiple countries.

A suite of online report templates was released to address the regulatory and custom needs of BNY Mellon’s Asset Servicing client base.

A new tool from Charles Schwab, Compliance Solutions is designed to help companies meet regulatory requirements, manage risk and protect their reputations.

SunGard is expanding its managed services capabilities to help retirement plan administrators and recordkeepers reduce costs, comply with new regulations and focus on service differentiation. 

Advisers can use social media to build more personal relationships with clients, speakers said during the Securities Industry and Financial Markets Association (SIFMA) social media seminar.

Portfolio Evaluations Inc. (PEI) launched a fiduciary protection program, PEI Shield, which aims to help retirement plan fiduciaries with evolving fiduciary regulations and requirements.

Do you really know how your broker/dealer makes money? If not, it’s time to learn before a Department of Labor (DOL) investigator knocks on your door.

 A registration maintenance service for compliant document management was rolled out by RIA in a Box, a provider of registration and compliance consulting services.   

Social media offers an opportunity to build your brand. But send a seemingly innocent tweet – or “like” the wrong Facebook page – and you could step into...

Global Relay updated its Twitter archiving software to help advisers meet Securities and Exchange Commission (SEC) as well as Financial Industry Regulatory Agency (FINRA) regulations.

FINRA’s proposed fee hikes for new applications and branch office registrations would force many independent broker/dealers (IDBs) out of business, the Financial Services Institute (FSI) said.

The Financial Planning Association (FPA) announced it would offer FiPath for Advisors tools to its members through a strategic collaboration with FiPath.

The Department of Labor’s Employee Benefits Security Administration (EBSA) announced a workshop in South Carolina for retirement plan fiduciaries.

With the number of retirement plan audits expected to rise, plan advisers should be proactive in helping plan sponsors avoid hefty fines.

The Principal Financial Group has created an ERISA 404(a) Participant Disclosure Regulation Resource Center.