IAA Supports SEC’s Reproposal of Fund Derivatives Rule, Strongly Opposes Related Sales Practice Rule as “Troubling” May 6, 2020 While generally supporting the SEC’s comprehensive approach to modernizing regulation around...
May 06, 2020
Tags: Derivatives, Fiduciary
DOL Advice Proposal Confirms Five-Part Fiduciary Test, Includes Class Exemption Based on Impartial Conduct Standards July 1, 2020 (updated July 31, 2020) Two years after its fiduciary rule was vacated,...
July 01, 2020
IAA Comments on DOL’s Proposed Fiduciary Exemption
The IAA has submitted a comment letter to the Department of Labor on that agency’s proposed fiduciary exemption. The proposed exemption is intended to replace the DOL’s 2016 fiduciary rule,...
August 10, 2020
Tags: Compliance, Digital Advice, DOL, Fiduciary