Latest Posts › Investment Management

Share:

Outsourcing: FINRA Outlines Onboarding and Supervision Suggestions for Use of Third-Party Vendors

A recent FINRA regulatory notice recasts existing obligations regarding outsourcing as a procedural roadmap for broker-dealers to “consider” when using third-party vendors. The Financial Industry Regulatory Authority, Inc....more

Update on State Fiduciary Duty Regulations

As Massachusetts steps up to the plate, New Jersey extends comment period and announces public hearing. Just as the comment period on New Jersey’s fiduciary rule proposal came to a close, Massachusetts Secretary of State...more

SEC Adopts Standards of Conduct For Retail Advice

The US Securities and Exchange Commission voted on June 5 to adopt its long-awaited rules governing retail advice. These new standards of conduct include the adoption of Regulation BI and Form CRS, as well as interpretive...more

3 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide