Proposal would require certain service providers to furnish a separate disclosure guide.
On March 11, the U.S. Department of Labor (DOL) issued a proposed amendment to its 2012 final regulations under section 408(b)(2)...more
Financial institutions should prepare for increased regulatory scrutiny.
The Financial Industry Regulatory Authority (FINRA) and the U.S. Securities and Exchange Commission (SEC) released their examination priorities...more
New guidance defers to the Dodd-Frank/CFTC framework for regulating the swaps clearing process.
On February 7, the U.S. Department of Labor (DOL) issued an advisory opinion on the application of the ERISA fiduciary rules...more