Fiduciary duty – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 24 Apr 2024 19:33:54 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Fiduciary duty – Investment Executive https://www.investmentexecutive.com 32 32 Advisors face new U.S. fiduciary requirements https://www.investmentexecutive.com/news/from-the-regulators/advisors-face-new-u-s-fiduciary-requirements/ Wed, 24 Apr 2024 18:10:03 +0000 https://www.investmentexecutive.com/?p=484685 Labor Department finalizes fiduciary rule for retirement advice

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]]> SEC tightens robo exemption https://www.investmentexecutive.com/news/from-the-regulators/sec-tightens-robo-exemption/ Wed, 27 Mar 2024 17:52:48 +0000 https://www.investmentexecutive.com/?p=482831 Regulator aims to bolster investor protection, modernize rules

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]]> Shift to advice boosting brokers: Fitch https://www.investmentexecutive.com/news/research-and-markets/shift-to-advice-boosting-brokers-fitch/ Tue, 13 Feb 2024 22:07:26 +0000 https://www.investmentexecutive.com/?p=480468 Transition to be aided by expanding fiduciary requirements

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]]> U.S. investor advocates take aim at RIA arbitration https://www.investmentexecutive.com/news/from-the-regulators/u-s-investor-advocates-take-aim-at-ria-arbitration/ Fri, 02 Feb 2024 19:34:27 +0000 https://www.investmentexecutive.com/?p=479755 Firms use forced arbitration to discourage clients from pursuing complaints

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]]> Financial firms lead rise in class action payouts https://www.investmentexecutive.com/news/from-the-regulators/financial-firms-lead-rise-in-class-action-payouts/ Fri, 19 Jan 2024 18:05:53 +0000 https://www.investmentexecutive.com/?p=479008 Mega-settlements drive global settlements to a five year high, ISS unit reports

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]]> Potential class action against fund reps revived https://www.investmentexecutive.com/news/from-the-regulators/potential-class-action-against-fund-reps-revived/ Thu, 21 Dec 2023 20:14:17 +0000 https://www.investmentexecutive.com/?p=477768 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 https://www.investmentexecutive.com/inside-track_/dustyn-lanz/5-actions-for-fund-managers-to-overcome-esg-pain-points/ Mon, 16 Oct 2023 19:00:55 +0000 https://www.investmentexecutive.com/?p=473398 Evolving expectations leave some managers struggling

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]]> SEC targets best-interest rules in broker reviews https://www.investmentexecutive.com/news/from-the-regulators/sec-targets-best-interest-rules-in-broker-reviews/ Mon, 16 Oct 2023 18:40:37 +0000 https://www.investmentexecutive.com/?p=473386 Regulator's exam division sets compliance priorities for 2024

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]]> Proposed syndicated mortgage class action rejected https://www.investmentexecutive.com/news/from-the-regulators/proposed-syndicated-mortgage-class-action-rejected/ Mon, 19 Jun 2023 21:30:44 +0000 https://www.investmentexecutive.com/?p=467594 Appeal court upholds lower court's ruling, denying class action against trustee

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]]> ISS takes on anti-ESG critics https://www.investmentexecutive.com/news/industry-news/iss-takes-on-anti-esg-critics/ Tue, 13 Jun 2023 18:01:59 +0000 https://www.investmentexecutive.com/?p=467247 Proxy advice grounded in market input and client demand, firm says

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