Compliance | November 5th, 2018 ICI Argues Intermediary-Driven Fund Disclosure System Is Flawed ICI draws the conclusion that this system means fund shareholders are paying higher costs than is strictly necessary.
Compliance | September 12th, 2018 Testing of SEC Adviser Relationship Summary Form Yields Troubling Results A group of investor advocacy organizations is calling on the Securities and Exchange Commission to significantly revise its adviser customer...
Compliance | May 3rd, 2018 Appeals Court Rejects AARP, State Arguments to Revive DOL Fiduciary Rule Process The decision puts another layer of finality on the fate of the now-defunct Department of Labor fiduciary rule expansion, meaning...