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Tag: Fiduciary

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SEC Fines Adviser for Breach of Fiduciary Duty

The SEC has settled charges against a registered investment adviser for breach of fiduciary duty to clients for failures regarding conflicts disclosure, best execution, and duty of care.

March 07, 2022

Keywords: Fiduciary, Revenue Sharing, SEC Enforcement, Share Class Disclosure

2022 IAA Policy Outlook: Changes Ahead, Changes Behind

IAA President & CEO Karen Barr on the association and industry’s 2021 highlights — and a look forward at what’s to come in 2022.

January 10, 2022

Keywords: Fiduciary, Form CRS, From the President & CEO, IAA Policy, Karen Barr, Proxy Voting, Sustainable Investing

Categories & Topics: Form ADV & CRS, Industry Trends, Proxy Voting

SEC Staff Releases Additional Form CRS Observations

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December 21, 2021

Keywords: Discl, Disclosure, Fiduciary, Form CRS

Categories & Topics: Fiduciary, Form ADV & CRS

Fiduciary Duty and Investments in DC Plans | Three Tips for Plan Sponsors

Plan fiduciaries are charged with acting in the best interests of plan participants. What does that mean in practice, especially when it comes to selecting investments for defined contribution plans?

November 22, 2021

Keywords: Active Managers Council , Columns, Fiduciary, Retirement Plans

Categories & Topics: Active Managers Council, Compliance, ERISA & Pension Plans, Membership

Adviser, Principals Fined for Charging Clients Fees Without Providing Advice

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October 05, 2021

Keywords: Conflicts of Interest, Disclosure, Fees and Expenses, Fiduciary, SEC Enforcement

Categories & Topics: Compliance, Conflicts, Enforcement, Fiduciary

BDC Adviser Fined Over $800,000 for Accepting Fees Without Board Knowledge or Approval

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June 15, 2021

Keywords: Conflicts of Interest, Enforcement, Fees and Expenses, Fiduciary, Investment Company Act