OCC Issues Fintech FAQ
OCC issued FAQ guidance on third-party risk management, with some implications for fintech firms that provide services for banks.
Bill to Kill Dodd-Frank, Repeal Fiduciary Rule Passes House
Financial Choice Act likely DOA in Senate, Democrats say.
Fiduciary Rule Readiness Check: June 9 Effective Date
With the DOL fiduciary rule applicability date now here, it is crucial that advisors understand what that actually means.
RIAs, Don’t Assume You’re Already in Compliance With DOL Fiduciary Rule
Yes, the DOL rule applies to you, too, Rick Edelman tells advisors.
House GOP Introduces Bill to Overturn DOL Fiduciary Rule
The Affordable Retirement Advice for Savers Act is a "more responsible solution," Rep. Phil Roe says.
Advisors' Fiduciary Rule Compliance Is Fixated on the Wrong Target
Being compliant with the rule is important, but it's not necessarily where the plaintiffs' bar will take aim.
3 Possible DOL Reforms That Could Help Advisors
KBW analysts share their views on what deregulation banks and broker-dealers can expect this year and next.
Former Cetera CCO Breton Joins Triad Advisors
Bernie Breton will help Triad navigate fiduciary rule compliance.
3 Ways BDs Can Best Support Post-DOL Growth for Indie Advisors
The culture fostered by cultivated by broker-dealers can either drive service-based growth or hold it back.
Trump Endorses Provisions of Choice Act, May Push for More
The Trump administration made it clear that it considers the legislation as only the first step toward overhauling Dodd-Frank.