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Keyword: Fiduciary duty

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B.C. appeal court certifies closet indexing class action article image Judge makes ruling

B.C. appeal court certifies closet indexing class action

Quant funds failed to guard models: SEC article image A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Quant funds failed to guard models: SEC

Edward Jones to pay US$17 million in NASAA settlement article image Gavel and texts

Edward Jones to pay US$17 million in NASAA settlement

NASAA adds best interest standard to model rule article image Client listening to a lawyer or advisor explaining issues

NASAA adds best interest standard to model rule

Fund dealer fiduciary duty class action fails article image Class action

Fund dealer fiduciary duty class action fails

SEC targets brokers’ best interests compliance article image Inspecting papers

SEC targets brokers’ best interests compliance

Advisers failed to enforce investment limits: SEC article image signing document

Advisers failed to enforce investment limits: SEC

SEC sanctions adviser’s mismarking article image Judge looks at papers

SEC sanctions adviser’s mismarking

Pension regulators unveil new guidance article image Hand putting Coins in glass jar with retro alarm clock for time to money saving for retirement

Pension regulators unveil new guidance

Trailer fee class action certified