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Enforcement Director Gurbir Grewal said the answer to the question of whether the rule has changed anything “remains to be seen.”
July 22 -
The regulator plans to focus on Reg BI, ESG criteria, private funds, cybersecurity and crypto assets in 2022, according to its closely watched report.
April 4 -
The settlements pose an impact to the firms accused of neglecting their Form CRS, but not to giant wealth managers bracing for stronger enforcement.
February 24 -
The XY Planning Network of fee-only advisors and investment advisor Michael Kitces say consumers are being deceived when brokers use labels like “wealth manager” and “financial advisor.”
September 20 -
The trade group’s continued support comes with caveats as advocates for a stronger rule express hope that the Biden administration will change the 2019 regulation.
July 27 -
Such changes can occur without new rulemaking, agree fiduciary advocates and ex-regulators at an Institute for the Fiduciary Standard press conference
June 23 -
The litigation reveals how wealth managers’ deals with product sponsors work and how one with a former Voya unit went awry.
April 29 -
Peggy Ho built the rival firm’s government relations team, and she’s joining the new firm at a pivotal time in wealth management regulation.
April 22 -
Following through on its staged approach to new advice standard, industry regulator expected to be less patient with the "laggards."
February 5 -
In the new Form CRS, firms must justify whether they place client assets in advisory or broker accounts.
February 4