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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2017-04-05T09:15:00
To comply with a Presidential Memorandum, the Labor Department has announced a 60-day extension of the applicability dates of its fiduciary rule and related exemptions, including the Best Interest Contract Exemption.
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News and analysis for the well-informed compliance or audit exec. Select an option and click continue.
Annual Membership $499 Value offer
Full price one year membership with auto-renewal.
Membership $599
One-year only, no auto-renewal.
2017-06-27T09:30:00Z By Joe Mont
While the Labor Department and SEC are headed for a showdown over a fiduciary duty rule, another player has entered the mix: the CFP Board.
2017-05-16T09:15:00Z By Joe Mont
Free-market advocates are gaining traction to overturn the Obama administration’s rule that places additional responsibilities upon financial services representatives.
2024-12-05T15:51:00Z By Aaron Nicodemus
Regulations are sure to be rolled back under President Donald Trump, but the question is which regulations, and how much? Is your organization as prepared to respond when regulations are loosened as it was when they were tightened?
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