Feb 23, 2024 View in Browser

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Compliance Watch

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News

Final DOL Fiduciary Rule Likely Out This Year

By Melanie Waddell

The rule is likely on a clock driven by the presidential election, ERISA lawyer Brad Campbell says.

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News

TIAA to Pay $2.2M for Reg BI Violations in IRA Program

By Melanie Waddell

The firm didn't disclose that core funds were more cheaply available in the IRAs' brokerage window, regulators say.

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News

FINRA Fines BD $75K Over Personal Email Use

By Melanie Waddell

In one incident, a Ceros employee sent hundreds of clients' account data to their personal email, FINRA says.

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Video

New SEC Dealer Rule Will Hit Private Funds: SEC Roundup

By Nick Morgan and Tom Zaccaro

AIMA's Suzan Rose says the rule expands BD registration to entities not traditionally considered as such.

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News

IRS Collected $500M From Wealthy Tax Cheats

By Melanie Waddell

The agency also wants to boost in-person assistance this filing season, Commissioner Danny Werfel said.

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News

Broker Suspended After Raising Funds for Fitness Business

By Dinah Wisenberg Brin

The suspended advisor raised over $10 million for his Texas company without employer approval, FINRA says.

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Resources

Product Reframed: A Guide to Thinking Differently About Guaranteed Lifetime Income

Sponsored by: Allianz Life Insurance Company of North America

In an era where retirement security is a growing concern, you have a large role to play in helping plan participants secure their financial future. Yet a significant opportunity lies untapped: guaranteed lifetime income.

LEARN MORE

WEBCAST DATE: February 29, 2024

The State of Contracts For Law Firms: Making the Case for Contract Automation in 2024

This webcast will unpack the most common challenges firms face in implementing new technology—like employee onboarding and proving value—and show you strategies to overcome them.

LEARN MORE

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