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Regulatory

The SECURE Act and Guaranteed Retirement Income in Plans

Tuesday , August 13 2019 08:45 AM

News Category:

Practice Management, Industry BLOGs, Regulatory

IRS Private Letter Ruling Solves Crucial Annuity Transaction Friction Point

Tuesday , August 13 2019 08:30 AM

News Category:

Industry Publications, Tax Planning, Regulatory

Joint Statement About Broker-Dealer Custody of Digital Asset Securities

Monday , August 5 2019 10:15 AM

News Category:

Industry BLOGs, Regulatory, Technology

The Impact of Reg BI: Deep Dive with Mitch Avnet from Compliance Risk Concepts

Monday , August 5 2019 10:00 AM

News Category:

Industry BLOGs, Regulatory, Technology

Data Localization Considerations for Financial Services Compliance Teams

Monday , August 5 2019 10:00 AM

News Category:

Practice Management, Industry BLOGs, Regulatory, Technology

FinCEN Updates Advisory on Business Email Fraud: Billions Thought to Have Been Stolen

Monday , July 29 2019 07:45 AM

News Category:

Industry BLOGs, Regulatory, Technology

DOJ's New Guidance Centers on Three Important Questions during future misconduct investigations

Monday , July 29 2019 07:45 AM

News Category:

Practice Management, Industry BLOGs, Regulatory

LexisNexis Launches Context for Courts, Delivering Venue-Specific Insights for Data-Driven Litigators

Monday , July 29 2019 07:45 AM

News Category:

Industry BLOGs, Financial, Regulatory, Technology

Kitces: Why Reg BI matters for RIAs

Monday , July 29 2019 07:30 AM

News Category:

Industry Publications, Financial, Regulatory

Not Your Grandparents’ Archive: Three Key Features for Today’s Smart Cloud Archive

Monday , July 22 2019 07:45 AM

News Category:

Practice Management, Industry BLOGs, Regulatory, Technology

Fidelity at center of new strategy for ERISA breach lawsuits

Monday , July 22 2019 07:45 AM

News Category:

Industry Publications, Regulatory

Under the Dome — A Closer Look at Legislative Proposals Impacting Retirement

Monday , July 22 2019 07:30 AM

News Category:

Practice Management, Regulatory, White Paper

ETF Express: SEC's Exemptive Relief Opens Up ETF Market to Active Managers (PDF)

Monday , July 22 2019 07:30 AM

News Category:

Practice Management, Industry BLOGs, Regulatory, White Paper

Adidas 401(k) Lawsuit Argues Passive Funds Best for Participants

Monday , July 15 2019 08:15 AM

News Category:

Industry Publications, Financial, Regulatory

The 2020 GIPS Standards: The Top Changes You Need to Know

Monday , July 8 2019 07:45 AM

News Category:

Practice Management, Industry BLOGs, Regulatory

FINRA 2018 Fines Summary for Noncompliance with Recordkeeping and Supervision Obligations

Monday , July 1 2019 02:45 PM

News Category:

Industry BLOGs, Regulatory

Track Insiders in Compliance with Market Abuse Regulations

Monday , July 1 2019 02:30 PM

News Category:

Industry BLOGs, Regulatory, Technology

The SEC is looking at practices of RIAs - Best Interest Standard of Care for Advisors

Monday , June 24 2019 04:45 PM

News Category:

Industry BLOGs, Regulatory

EBSA Investigations: 7 Things to Know

Monday , June 17 2019 08:15 AM

News Category:

Industry BLOGs, Regulatory

CFTC Issues its First Enforcement Manual

Monday , June 17 2019 07:45 AM

News Category:

Industry BLOGs, Regulatory

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