Deals and People | June 7th, 2024 Retirement Industry People Moves Ameritas announces senior vice president of retirement plans; Aon appoints Reese as next CFO; Ascensus restructures sales team; and more.
Compliance | June 21st, 2023 New House Bill Suggests ESG Is to Blame for Underfunded Pensions While focused on eliminating consideration of ESG factors in fiduciary investment decisions, the legislation also requires a study of public...
Compliance | May 10th, 2023 Swing Pricing Proposal Should Be Defunded, House Republicans Say The chairman of the House Committee on Financial Services, Patrick McHenry, says the swing-pricing rule would hurt investors, especially because...
Compliance | March 28th, 2023 Congress, SEC Plan Separate Expansions of Electronic Disclosures Bipartisan legislation and an SEC proposal would make electronic disclosures under securities laws much more commonplace.
Compliance | November 5th, 2018 ICI Argues Intermediary-Driven Fund Disclosure System Is Flawed ICI draws the conclusion that this system means fund shareholders are paying higher costs than is strictly necessary.
Compliance | September 12th, 2018 Testing of SEC Adviser Relationship Summary Form Yields Troubling Results A group of investor advocacy organizations is calling on the Securities and Exchange Commission to significantly revise its adviser customer...
Compliance | May 3rd, 2018 Appeals Court Rejects AARP, State Arguments to Revive DOL Fiduciary Rule Process The decision puts another layer of finality on the fate of the now-defunct Department of Labor fiduciary rule expansion, meaning...