Sentences with phrase «for fiduciary regulation»

The American Council of Life Insurers also began advertising this week in Politico Morning Money for fiduciary regulation opponents to register their complaints.

Not exact matches

For questions pertaining to the fiduciary regulation, contact Jeffrey Turner, Office of Regulations and Interpretations, Employee Benefits Security Administration (EBSA), [phone].

Titles: (1) Prohibited Transaction Exemption for Principal Transactions in Certain Assets between Investment Advice Fiduciaries and Employee Benefit Plans and IRAs and (2) Final Investment Advice Regulation.

The memo, obtained by Bloomberg News, makes the case for a Labor Department regulation that would impose a fiduciary duty on brokers handling retirement accounts, requiring them to act in their clients» best interest.

However, the SEC's proposal contains an even more fundamental flaw: Even if brokers were held to a fiduciary standard of conduct, the ambiguous interpretation of the fiduciary «Duty of Care» makes any regulation difficult to enforce and confusing for all parties.

Most of the coverage of the SEC's recent proposal to replace the Department of Labor's Fiduciary Rule has focused on the different standards for brokers vs. advisors and the shortcomings of a disclosure - based approach to regulation.

Marilyn Mohrman - Gillis, executive director of the Certified Financial Planner Board of Standards» Center for Financial Planning and head of public policy, noted on a panel discussion moderated by Borzi that DOL's fiduciary rule will «hopefully [be] the tip of the iceberg to push other rules and regulations to protect investors.»

CFA and Americans for Financial Reform released a report on Wednesday, written by Hauptman and Barbara Roper, CFA's director of investor protection, which scrutinizes how brokerage firms and insurance companies market their services on their website and «contrasts the practices they use to attract customers with those they use when resisting regulation as fiduciary advisors.»

The parties, she continued, «are not required to complete coordination on the underlying lawsuit for two weeks, [so] it appears unlikely that Judge Crabtree will render a decision prior to the next fiduciary regulation battleground» in Texas.

«As a fiduciary of the New York City Employee Retirement System for the last 8 years, Scott has worked with his fellow trustees to grow the City's pension funds through prudent investments, improving diversification and ensuring more rigorous assessment of risks to investments such as corporate accountability and violations of environmental regulations.»

This issue is not so much about federal regulations or inconsistencies between state laws and RESPA so much as is about HUD recognizing agency representation for the borrower as a compensable service, fair and equal application of RESPA to all costs (including borrower's broker), and a formal acknowledgment that some brokers are intermediaries that sell access to money while others are fiduciaries.

Professor Woolley's academic articles have discussed lawyer billing, the good character requirement for law society admission, the regulation of extra-professional misconduct, legal ethics teaching, access to justice, the regulation of civility, independence of the bar, the lawyer's duties as fiduciary and as an advisor, criminal lawyer ethics and the theoretical foundations of the lawyer's role.

The Arizona Judicial Branch provides professional regulation and licensing for judges, lawyers, confidential intermediaries, court reporters, licensed fiduciaries, legal document preparers, private process servers, and Defensive Driving Schools.

For example, the Fiduciary Rule is a key issue that has a large impact on the sales of investments and if the agent isn't properly trained and involved in the changes of regulations, that agent stands to possibly, and unintentionally, harm a client.

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