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Keyword: Fiduciary duty

104 results found
virtual regulation

SEC finds pervasive problems at U.S. robos

The regulator's reviews uncovered deficiencies at most firms examined

Whistleblower

Fiduciary duty breach caught by whistleblower

The chief of the SEC's whistleblower office will depart later this month

suspicious client

Industry applauds, investors lament new “best interest” standards

Mixed reaction as DOL seeks to harmonize with SEC rules on broker conduct

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

Investors prevail in $100-million BMO class action

Court finds registered account investors were charged undisclosed currency fees for 10 years

suspicious client

Massachusetts adopts fiduciary standard

State rules follow the demise of the federal DOL standard

professional woman meeting male advisor

States sue SEC over failure to introduce fiduciary standard

The new broker conduct rule waters down the protections in the Dodd-Frank Act, the states say

Federal Hall with Washington Statue on the front, wall street, Manhattan, New York City

SEC adopts “best interest” rules for brokers

The reforms also feature new relationship disclosure requirements for both registered investment advisors and broker-dealers

businesspeople with digital tablet sitting in modern office

U.S. study backs fiduciary standard

Neither product nor sales volume fell

Stacked white books on rules and regulations

FCA seeks to boost consumer protection

The regulator intends to publish a paper this fall with detailed reform proposals

usiness team in a meeting looking at a sheet of paper

Understanding your fiduciary duty

Tips for knowing when you’re in a fiduciary relationship and providing dutiful service