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DOL May Delay Implementation of Fiduciary Rule

The Department of Labor in a brief filed in a Minnesota lawsuit on August 9, 2017 revealed that DOL had submitted to the Office of Management and Budget a proposal to delay the implementation of remaining parts of the DOL fiduciary rule from Jan. 1, 2018, until July 1, 2019.  This would delay the implementation … Continue Reading

SEC Cybersecurity Alert

The SEC published a National Exam Program Risk Alert describing the results of cybersecurity exams of 75 broker-dealers and investment advisors on August 7, 2017. “National Exam Program Risk Alert, Observations from Cybersecurity Examinations,” (SEC August 7, 2017) This report is useful in evaluating your investment advisory firm’s cybersecurity policies.  Two issues received particular attention … Continue Reading
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