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Agencies Issue Joint Proposal to Curb Incentive-Based Compensation in the Financial Services...
JD Supra· 4 hours agoThe proposal seeks to make executive compensation arrangements more sensitive to risk and would require complex risk management programs to ensure compliance. On May 6, 2024, the Federal Deposit ...
Florida Gov. Ron DeSantis sign 9 more bills into law. Here’s what each does
WKMG ClickOrlando· 1 day agoFlorida Gov. Ron DeSantis signed another batch of nine bills on Tuesday, covering issues like...
FinCEN and SEC Propose Rulemaking Requiring CIP for Investment Advisers | JD Supra
JD Supra· 2 days agoOn May 13th, the Financial Crimes Enforcement Network (FinCEN) and the Securities Exchange Commission (SEC) issued a joint notice of proposed rulemaking (NPRM) that would require SEC-registered ...
New MX Study Finds 64% of U.S. Consumers Prefer to Pay Bills Manually Each Month
The Herald Journal· 9 hours agoNew research from MX Technologies, Inc., a leader in actionable intelligence for consumers and the financial providers that serve them, reveals nearly two-thirds of U.S. consumers prefer manual ...
Request for Comments on FinCEN and SEC rule on CIP | JD Supra
JD Supra· 7 days agoThe Securities and Exchange Commission (“SEC”) and the Financial Crimes Enforcement Network (“FinCEN”) of the Department of Treasury issued a joint notice of proposed rulemaking (the “CIP Proposed ...
JD Supra: Department of Labor issues final regulation on investment advice fiduciaries
JD Supra· 5 hours agoThis is the DOL’s third attempt to revise the current regulatory definition of investment advice fiduciary, which was originally issued in 1975 (the “1975 Rule”).
JD Supra: The New Fiduciary Rule
JD Supra· 1 day agoOn April 25, 2024, the Department of Labor published its final regulation on fiduciary advice, and the related exemptions, in the Federal Register. The regulation defines fiduciary investment ...
Regulatory Roundup for May 2024 | JD Supra
JD Supra· 14 hours agoIn this edition, you will find one new SEC rule on cybersecurity breaches, one proposed rule requiring advisers to adopt “customer identification...
Final Amendments to Regulation S-P under Securities Exchange Act of 1934 | JD Supra
JD Supra· 3 days agoThe Amendments aim to modernize and enhance the customer protections established under Regulation S-P by expanding the scope of the existing safeguards rule and the disposal rule and the categories ...
2024 Fiduciary Rule – Impact on HSAs and Health & Welfare Plans | JD Supra
JD Supra· 2 days agoThe Department of Labor (“DOL”) recently released a final regulation (the “Fiduciary Rule”) redefining “investment advice” under the Employee Retirement Income Security Act of 1974, as amended ...
