Tag: Reg SP

Compliance

May 17th, 2024

Reg S-P Requires Advisers to Inform Customers of Data Breaches

In addition to other registrants, advisers will have 30 days to inform their clients of any substantial data breach.

Compliance

March 20th, 2023

SEC Looks to Overhaul Regs SCI, SP

The SEC’s proposed updates would expand the institutions subject to various data security requirements and strengthen data breach notification requirements.

Events Spotlight

DCIO and Investment Menu Survey

Grande Lakes, Orlando | April 20th, 2020

Industry Intelligence

THOUGHT LEADERSHIP

Interest Grows in Finding New Uses for Stable Value

MetLife’s 2024 Stable Value Study found that defined contribution plan sponsors and plan advisers understand the benefits of stable value investments and are open to using the vehicles in new ways. PLANADVISER spoke with Thomas Schuster, senior vice president, stable value and investment products, and Warren Howe, national sales director, stable value and DCIO [defined contribution investment only] markets, at MetLife, about the study findings.

Sponsored by MetLife

THOUGHT LEADERSHIP

Inside TIAA’s $294B Investment Engine

TIAA CIO Emily Wiener discusses the firm’s approach to its General Account portfolio.

Sponsored by TIAA

THOUGHT LEADERSHIP

The Retirement Income Dilemma

What are we solving for and what have we learned so far?

Sponsored by MFS Investment Management