DOL’s Fiduciary Rule (“the Rule”) So where do we stand on the Department of Labor’s attempt to force a new definition of “fiduciary” on anyone who touches ERISA accounts? The proposed Rule was sent to the Office of Management and … Read More ›
Written by our GIPS Knowledge Partner: Additions/Modifications: In the “Primary Contact” section, a new question was added stating that CFA Institute “would like to support your firm’s ongoing success” and asking whether they can contact you. It expects a simple … Read More ›
An adviser stored sensitive, personally identified information (PII) of clients and others on its third-party-hosted web server from 2009 to 2013. The web server was attacked in July 2013 by an unknown hacker who gained access and copy rights to … Read More ›