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Keyword: Fiduciary duty

103 results found
A keyboard with a blue button - Robo Advisor

SEC sanctions robo advisor for misstatements about tax-loss harvesting service

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

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Discount brokers’ trailers harm all investors, lawsuit alleges

Proposed class action claims that improper fees hurt investors' returns

Conflicted graph

SEC commissioners criticize enforcement rationale

Regulators objected to applying "best execution" duties to fund selection

Justice scales and gavel by books

Fund firms “negligent” in market-timing case: court

Companies breached duty of care to investors but not fiduciary duties, decision says

magnifying glass

SEC reveals compliance review priorities

Conduct standards, crypto and cybersecurity feature in exam plans for 2023

Broken eggs next to an overturned wicker basket. Concept: "Don't put all your eggs in one basket".

Not an advisor, but still a fiduciary, court finds

B.C. court finds unregistered, unqualified advisor must be held to industry standards

client meeting

FCA seeks radical shift in consumer treatment

Tougher standards aim to improve competition and results for customers

Wall street sign in New York with American flags and New York Stock Exchange background.

SEC reminds firms to prioritize retail investors’ interests

Best interest rules and fiduciary duties should produce similar outcomes, U.S. regulator says

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

Judges disagree over fiduciary duty claim

Majority dismisses appeal, rejects proposed class action

virtual regulation

SEC finds pervasive problems at U.S. robos

The regulator's reviews uncovered deficiencies at most firms examined