The DOL Fiduciary Rule (the “Rule”) that will require all advisors to act as fiduciaries with their ERISA clients is rule that was constructed over the course of more than six years by the Obama Administration. Since the Rule was proposed in April 2015, it has been vehemently opposed by many Republicans who believe it…

The SEC recently announced a proposal to mandate increased regulatory reporting for both investment advisors and investment companies. The SEC hopes to provide enhanced disclosure of the advisory firms and the way that they conduct business as it drives for modernization of data collection for the industry. Retention of Performance Communications. Proposed amendments to Rule…

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