Regulators objected to applying "best execution" duties to fund selection
Companies breached duty of care to investors but not fiduciary duties, decision says
Conduct standards, crypto and cybersecurity feature in exam plans for 2023
B.C. court finds unregistered, unqualified advisor must be held to industry standards
Tougher standards aim to improve competition and results for customers
Best interest rules and fiduciary duties should produce similar outcomes, U.S. regulator says
Majority dismisses appeal, rejects proposed class action
The regulator's reviews uncovered deficiencies at most firms examined
The chief of the SEC's whistleblower office will depart later this month
Mixed reaction as DOL seeks to harmonize with SEC rules on broker conduct