Banking trade associations told the Office of the Comptroller of the Currency that regulators should reform rules around ...
As regulatory oversight continues to evolve, retirement plan advisors face growing pressure to ensure their plans’ fund lineups and fiduciary processes can withstand scrutiny. With more complex ...
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 ...
The Federal Deposit Insurance Corp. does not have a clear way to measure whether its oversight of big third-party banking technology providers is actually working, according to a watchdog audit. The ...
THE AICPA HAS RECEIVED A NUMBER of inquiries regarding practitioners’ responsibilities in outsourcing engagements. The applicable guidance is found in the AICPA’s Code of Professional Conduct, the ...
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