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The legal heads of both firms challenge arguments made against the ability of robo advisers to serve their clients.
November 15 -
While it’s early in the process, a number of names are being floated as possible contenders.
November 14 -
The commission will examine how digital advice platforms uphold fiduciary responsibilities and safeguard client data.
November 14 -
The request foreshadows how the senator will attempt to influence the next president's cabinet and other key nominations.
October 14 -
More than a quarter of enforcement cases the commission brought in the just-ended 2016 fiscal year targeted planners and investment companies.
October 12 -
As rules pile up, industry leaders are looking for ways to help advisers navigate what they say has become a regulatory labyrinth.
September 28 -
Mary Jo White also said that the commission lacks sufficient resources to provide oversight of investment advisers.
September 27 -
To help identify fraudulent advertising , advisers will be required to create and maintain documents that demonstrate performance calculations or returns.
August 26 -
The proposed rule would require firms to have blueprints in place for natural disasters, cyber disruptions and transitioning clients if a practice winds down.
June 28 -
In contentious Senate testimony, White fended off accusations that the regulatory body has dragged its feet. Again, she did not offer a timeline for implementing a fiduciary rule from the SEC.
June 15