Regulators Hit Jackpot: Off-Channel Communications -
Several years before announcing the first “off-channel” communications enforcement action, the SEC and FINRA cautioned broker-dealers and investment advisers about...more
10/11/2023
/ Annuities ,
Artificial Intelligence ,
Best Interest Standard ,
Breach of Contract ,
Class Action ,
COBRA ,
Consumer Financial Products ,
Consumer Insurance Products ,
Employee Benefits ,
Employee Retirement Income Security Act (ERISA) ,
Employment Litigation ,
Federal Arbitration Act ,
Financial Contracts ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Health Insurance ,
Insider Trading ,
Insurance Fraud ,
Insurance Litigation ,
Insurance Regulations ,
Interlocutory Appeals ,
Investment Management ,
Life Insurance ,
Money Market Funds ,
Mutual Funds ,
NAIC ,
NLRA ,
NLRB ,
No-Action Letters ,
Non-Compete Agreements ,
NYDFS ,
Regulatory Requirements ,
Retirement ,
Robocalling ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
State and Local Government ,
Wage and Hour
Each Broker-Dealer Can Help Shape Concept Appropriately to Its Business -
The SEC’s new Regulation Best Interest (Reg BI) requires broker-dealers to:
- Disclose business practices in dealing with retail customers;...more
10/10/2019
/ Best Interest Standard ,
Broker-Dealer ,
Disclosure Requirements ,
Financial Services Industry ,
Investment Adviser ,
Life Insurance ,
Policies and Procedures ,
Regulation Best Interest ,
Regulation BI ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Securities Transactions ,
Standard of Conduct
This article addresses the liability of inside attorneys at asset management companies— mutual fund sponsors, investment advisers, broker-dealers, life insurance companies—as gatekeepers under rules of the US Securities and...more
9/22/2015
/ Appearance Policy ,
Arthur Anderson ,
Asset Management ,
Best Interest Contract Exemptions ,
Best Interest Standard ,
Broker-Dealer ,
Compliance ,
Dodd-Frank ,
Enforcement Actions ,
Enron ,
Insurance Industry ,
Investors ,
Life Insurance ,
Mutual Funds ,
Negligence ,
Private Right of Action ,
Professional Liability ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Shareholders ,
WorldCom