Regulation and compliance
Regulation and compliance
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Following a year of slowed deal activity, a PwC report addresses the added challenges managers face amid the developing economic, tax and regulatory agenda of the new administration.
February 7 -
Digital advice firms will continue to market themselves as white knights in the financial services industry, observers say.
February 6 -
Here’s what the president’s actions mean for advisers and firms.
February 6 -
The final version of the memorandum that President Trump signed did not actually include a provision to hold up the regulation. It's still game on.
February 5 -
"Just the talk about the rule has been free advertising for planners committed to prioritizing their client's needs over juicing their own compensation," says one leading fiduciary planner.
February 4 -
The firm says it could delay changes it pledged to make to comply.
February 3 -
"My expectation is that a lot of firms are going to continue installing a best-interest standard, regardless," said Brian Graff, CEO of the American Retirement Association.
February 3 -
Advisers reacted to President Trump's efforts to halt the regulation.
February 3 -
President Trump’s order sparked reactions all over his preferred social media platform.
February 3 -
While a review will be undertaken by the Labor Department, the White House signaled that the president was expecting significant change.
February 3 -
CEO Jim Cracchiolo said the firm's efforts won't go to waste should the rule be overturned.
February 2 -
Meanwhile, a prominent Republican congressman called on President Trump to delay the regulation's implementation.
February 2 -
Even as President Trump seeks a rollback of financial regulations, there’s little chance the rule will be paused — and an even slimmer chance it will be derailed, says TD Ameritrade Institutional’s Skip Schweiss.
February 2 -
CFP Board and other supporters see the Labor Department's rule on retirement advice under assault, digging in for fight against administrative or legislative efforts to delay the rule.
February 1 -
The financier may be offered an ambassadorship or another job instead of appointing him to a top role advising President Donald Trump.
February 1 -
The regulation pulled back the curtain on one type of conflict, but there are many others. It's only a matter of time before they come to light, too.
February 1 -
Seven former private bankers said they functioned less as advisers than as salespeople.
February 1 -
The move is intended to better satisfy clients who are increasingly asking for more clarity, according to the firm.
February 1 -
Today’s young winners are concerned about the fiduciary rule, and rightly so since it could potentially land them in court.
February 1 -
Who’s responsible for a digital problem caused by a third-party program? Not the vendor.
February 1

















