DOL Issues FAQs on Lifetime Income Illustrations The Department of Labor’s Employee Benefits Security Administration (EBSA) has issued temporary implementing FAQs on the requirement to add lifetime income illustrations to...
August 03, 2021
DOL Issues FAQs on Lifetime Income Illustrations The Department of Labor’s Employee Benefits Security Administration (EBSA) has issued temporary implementing FAQs on the requirement to add lifetime income illustrations to...
August 03, 2021
New Risk Alerts Focus on Wrap Fee Programs, Principal and Cross Trades The SEC’s Division of Examinations has issued two risk alerts describing the staff’s observations resulting from initiatives on...
July 27, 2021
New Risk Alerts Focus on Wrap Fee Programs, Principal and Cross Trades The SEC’s Division of Examinations has issued two risk alerts describing the staff’s observations resulting from initiatives on...
July 27, 2021
SEC’s Gensler Highlights Potential Areas for Secrity-Based Swap Reglations, Discsses Digital Asset Platforms SEC Chair Gary Gensler provided an pdate on reglatory reforms related to secrity-based swaps in a recent speech, in which he...
July 27, 2021
Driscoll to Leave SEC; Kahl to Serve as Exam Division’s Acting Director Peter Driscoll, who has led the SEC’s Division of Examinations and its predecessor Office of Compliance Inspections and...
July 15, 2021
SEC’s AMAC Tackles Diversity and ESG, Explores Retail Access to Private Investments, Advisers’ Use of Technology In a lengthy open meeting on July 7, the SEC’s Asset Management Advisory Committee...
July 14, 2021