IA Rules & Regulatory Actions

Businessman holding USD banknote for payment.US dollar is main and popular currency of exchange in the world. Investment and saving concept.
CCA benefited from this arrangement by deferring payment on its legal costs for multiple years
Senior couple consults with female real estate agent
This is the DOL's final rule creating a new definition of an ERISA fiduciary
This document contains a notice of amendment to class prohibited transaction exemption (PTE) 2020-02, which provides relief for investment advice fiduciaries to receive certain compensation ...
Business people shaking hands in the office. Group of business persons in business meeting. Three entrepreneurs on meeting in board room. Corporate business team on meeting in modern office. Female manager discussing new project with her colleagues. Company owner on a meeting with two of her employees in her office.
This document contains a notice of amendment to Prohibited Transaction Exemption (PTE) 84-24, an ERISA exemption from certain prohibited transactions
Financial advisor consultation with clients on retirement, finance planning or investment and document on laptop screen. Accountant woman, senior people and pension advice, asset management or budget
This document contains a notice of amendments to Prohibited Transaction Exemptions (PTEs) 75-1, 77-4, 80-83, 83-1, and 86-128, which are class exemptions from certain prohibited ...
DOL
This is the Department of Labor's 2024 final rule redefining a fiduciary under ERISA
Close-up Of Businessman Hands Giving Cheque To Other Person In Office
A staffer at the adviser "made a campaign contribution to a candidate for elected office in Minnesota, which office had influence over selecting investment advisers ...
A business man standing and staring at a blank billboard advertisement.
Bradesco disseminated hypothetical performance in advertisements to a mass audience rather than presenting hypothetical performance relevant to the likely financial situation and investment objectives of ...
Japanese girlfriends hanging out on Shibuya streets of Tokyo. Japan.
Credicorp failed to adopt and implement policies and procedures reasonably designed to ensure that the performance was relevant to the likely financial situation and investment ...
Big empty mockup Billboard along a highway with forest on background of blue sky with beautiful clouds on a bright sunny day.
The advertisements included hypothetical performance that consisted of performance derived from model portfolios. The advertisements on the website were disseminated to the general public rather ...
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