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Many investment advisers provide investment advice to 401(k) plans. In these instances, the 401(k) Plan itself is the client. In other words, the adviser is hired by the employer to design or manage the Plan itself. In other cases, the...
Learn MoreEvery year, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) publishes its examination priorities to address risks that are a potential threat to investors or the integrity of the U.S. capital markets. On December 20, 2018, OCIE released its…
Read MoreFINRA recently announced its 529 Plan share class self-reporting initiative in Regulatory Notice 19-04. This initiative is consistent with FINRA’s efforts to employ remote surveillance and to have broker-dealers promptly remedy potential supervisory and suitability violations relative to share class…
Read MoreMutual funds continue to face headwinds that require nimble reactions and flexibility – neither of which are easy feats given the ever-shifting regulatory landscape. Continued pressure on fees, industry consolidation, and increased demand for transparency from investors all present challenges…
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