Carl Ayers
Sending routine account notices should be, well, routine. But programming errors and supervisory glitches can trump the best of intentions. And it will cost you. ...
FINRA’s exam priorities letter could not be clearer: “Protecting senior investors will remain a top priority in 2017.” But a series of recent enforcement cases ...
This report from 2017 is reproduced here with permission of the Association for Corporate Growth. This 35-page report covers hot compliance issues along with recommended ...
Click here to open a Word file that is a memo designed to educate staff about cybersecurity.
The Federal Register has published the Labor Department’s 8-page proposed rule that would move its fiduciary duty rule’s applicability date to June 9th from April ...
You’d think they’d want to crow about their accomplishment. One week out from the SEC’s three updates about its custody rule (IA Watch, Feb. 23, ...
This document proposes to extend for 60 days the applicability date defining who is a “fiduciary” under the Employee Retirement Income Security Act (ERISA) and ...
The proposed amendments would amend the list of events for which notice is to be provided to include (i) incurrence of a financial obligation of ...