Browsing Tag
Compliance
20 posts
Too Many Advisors Can’t Spend Enough Time with Clients: J.D. Power
Stifel, Commonwealth rank highest in satisfaction in respective segments according to the 2023 U.S. Financial Advisor Satisfaction Study
DOL Jabs ForUsAll in Latest Response Against Suit
The Department of Labor accused ForUsAll of slanting its cryptocurrency guidance from March and called on the court to dismiss the lawsuit
SEC on Form CRS: Keep it Clear and Simple
An SEC committee warns that client relationship summary compliance improvement appears to be needed, and offers guidance in a variety of areas
Year-End 401(k) Plan Compliance Checklist
Deadlines and regulatory changes to make sure plan sponsors are ready for before 2022 rolls around
401(k) Compliance Executive to Plead Guilty in College Admissions Scandal
Maybe ‘compliance’ doesn’t mean what he thinks. An insurance and private equity executive has agreed to plead guilty…
Report Warns of Need to Monitor Aging Advisors for Cognitive Impairment
President Donald Trump brought a lot of attention to dementia testing recently after repeatedly (and curiously) boasting that…
Envestnet, CSS Partner to Help Advisors Meet Reg BI’s Form CRS Requirement
Form CRS compliance is one of the bigger headaches facing advisors as the SEC’s Regulation Best Interest compliance…
How Plan Sponsors Avoid SECURE Act Noncompliance ‘Traps’
The recently passed SECURE Act offers provisions that benefit employers sponsoring 401k plans and their employees, all with…
Fi360 Launches Reg BI Training in Advance of June Implementation
While several states and a network of investment advisers have lobbed legal challenges toward the SEC’s looming new…
Action Steps to Help 401k Participants Thrive in 2020
Willis Towers Watson has some new insight on how to help defined contribution plan participants thrive in 2020.…