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Keyword: Fiduciary duty

105 results found
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OSC to increase focus on DIY investors

The regulator also wants to toughen enforcement and see better advice given at banks

Pro bono advice

Advisors face new U.S. fiduciary requirements

Labor Department finalizes fiduciary rule for retirement advice

right or wrong choice

SEC tightens robo exemption

Regulator aims to bolster investor protection, modernize rules

client meeting

Shift to advice boosting brokers: Fitch

Transition to be aided by expanding fiduciary requirements

Target hit in the center by arrow

U.S. investor advocates take aim at RIA arbitration

Firms use forced arbitration to discourage clients from pursuing complaints

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Financial firms lead rise in class action payouts

Mega-settlements drive global settlements to a five year high, ISS unit reports

gavel

Potential class action against fund reps revived

Appeal Court finds alleged fiduciary duty breach can be basis for class action

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5 actions for fund managers to overcome ESG pain points

Evolving expectations leave some managers struggling

  • By: Dustyn Lanz
  • October 16, 2023 October 16, 2023
  • 15:00
Dispute at desk

SEC targets best-interest rules in broker reviews

Regulator's exam division sets compliance priorities for 2024

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Proposed syndicated mortgage class action rejected

Appeal court upholds lower court's ruling, denying class action against trustee