Skip to Content

News

Stay up to date on the latest company news, developments, and releases; new product and services offerings; advocacy and policy activities; and opportunities for our members and the fiduciary community.

Despite leaner budgets, SEC’s Clayton anticipates a 5% increase in adviser exams next year

InvestmentNews
June 27, 2017

If Securities and Exchange Commission Chairman Jay Clayton has his way, registered investment advisers will see more oversight from auditors next year.
Read Full Article

SEC budget request could make it harder for agency to increase adviser examinations

InvestmentNews
June 23, 2017

The SEC budget request for 2018 projects 1,044 full-time OCIE employees, down from 1,069 in fiscal 2017
Read Full Article

L.A.‘s Capital Group accused of bilking employees — by pushing its own mutual funds

Los Angeles Times
June 22, 2017

Capital Group is the latest of several investment firms that have been targeted by lawsuits claiming that the companies push employees into actively managed mutual funds at a time when cheaper, passive funds that simply invest in the broader market are a better alternative.
L.A.'s Capital Group accused of bilking employees — by pushing its own mutual funds

DOL fiduciary rule: When advisers actively seek to use BICE

InvestmentNews
June 14, 2017

Duane Thompson, senior policy analyst at Fi360, weighs in on the BICE exemption as it applies to the fiduciary rule.
DOL fiduciary rule: When advisers actively seek to use BICE

Back to top