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Keyword: Fiduciary duty

102 results found
client meeting

Transition to be aided by expanding fiduciary requirements

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Firms use forced arbitration to discourage clients from pursuing complaints

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

gavel

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

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Evolving expectations leave some managers struggling

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

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

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

words ESG on a wood block and Future environmental conservation and sustainable ESG modernization development by using the technology of renewable resources to reduce pollution and carbon emission.

Proxy advice grounded in market input and client demand, firm says

Hands behind bars

Investors were misled about fund's trading and holdings, U.S. district court judge says

A keyboard with a blue button - Robo Advisor

Clients missed out on potential tax benefits after firm failed to alert them to changes in automated service