Advisers need to clearly distinguish between fact and opinion. When you meet with financial advisers, you want them to speak freely. You’re looking for unvarnished advice, not wishy-washy hedging.

Division of Examinations (" Examination Division ") released its 2026 Examination Priorities Report (the " Priorities Report "), the first issued under new Chairman Paul S. Atkins. 1 This annual ...

The 2026 Priorities also highlight the SEC’s increasing attention to the use of emerging artificial intelligence (AI) technologies. In contrast, crypto assets, which were previously a stand-alone ...

The expanding universe of socially conscious investments is beginning to coalesce under one umbrella: “impact investing.” Financial advisers are the key to this market, according to a study on this ...

The Securities and Exchange Commission’s Division of Examinations issued a risk alert highlighting investment advisers’ compliance issues with the agency’s updated marketing rule, a 2020 amendment to ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

CRM2 establishes rules for Canadian investment advisors to enhance transparency in client accounts. Understand its impact on cost disclosure and investment performance.

Your clients may have never heard of them, but collective investment trusts (sometimes called “CITs”) are increasingly dominating 401 (k)s. Whether this is good news or bad news is practically a moot ...

According to experts, the persistence of regulatory silos has led to distinctions being drawn on nomenclature rather than ...

SEBI forms a working group to address regulatory overlaps between mutual fund distributors and investment advisers, enhancing ...

Advisers should put no price targets on an investment a client owns and give no forecasts of anticipated performance Advisers need to clearly distinguish between fact and opinion. When you meet with ...

When you meet with financial advisers, you want them to speak freely. You’re looking for unvarnished advice, not wishy-washy hedging. Many advisers will open up candidly in private conversation. But ...