SEC Fiduciary Duty

Without adequate policies, procedures, training, and supervision in place at Frontier, certain IARs failed to reasonably assess whether the Feeder Fund was suitable for each ...

Investors would normally revel in investment earnings that could produce capital gains but the SEC notes in a new enforcement action that their adviser erred ...

Prior to SoFi Wealth’s decision to move client assets into the new SoFi ETFs, and prior to the transfer itself, SoFi Wealth did not perform ...

The DOL will begin enforcing the exemption Dec. 20th and having such documentation goes a long way to prove you’re in compliance

UBS lacked any procedure for regularly auditing the system to determine whether it continued to detect violations of the PMP Investment Guidelines

Beneficial owner, Reg BI, fiduciary duty on Commission's menu

A former college basketball player tried to be an all-star for his pro clients and wound up fouling out, the SEC says in a new ...

A CCO peer shares the adviser's rollover form, which comes in a fill-in-the-blanks format

This form can help you to document rollovers

"Fiduciaries should be mindful of these competing concerns so as not to risk undermining the foundation of how shareholders engage with corporate management .... I ...