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Searching Content indexed under Compliance by Carlton Fields ordered by Published Date Descending.
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1
Investment Adviser Fee Table On The Table
On February 7, the Massachusetts Securities Division asked for public comment on a fee table requirement for Massachusetts-registered investment advisers.
United States
6 Apr 2018
2
SEC Targets Variable Insurance Products
Once again, the SEC's Office of Compliance Inspections and Examinations (OCIE) has made variable insurance products an exam priority.
United States
6 Apr 2018
3
Implementation Delay And Q&As For Fund Liquidity Rule
On February 21, the SEC approved a six-month extension for mutual funds to comply with the classification (bucketing) requirements and related elements of its new liquidity rule.
United States
6 Apr 2018
4
NAIC Cybersecurity Working Group Votes to Approve Insurance Data Security Model Law
The National Association of Insurance Commissioners (NAIC) Cybersecurity (EX) Working Group (Cybersecurity WG) approved Version 6 (Finalized) of its Insurance Data Security Model Law (Model) on August 7 at the NAIC Summer 2017 National Meeting in Philadelphia.
United States
15 Aug 2017
5
SEC Approves FINRA Efforts To Protect Seniors And Other Vulnerable Persons
The SEC recently approved an amendment to FINRA Rule 4512 that requires FINRA members to make reasonable efforts to obtain, from each customer for whom they maintain an account, specified information about a "trusted contact person."
United States
10 Apr 2017
6
As Of January 22, Employers Must Use New I-9 Employment Eligibility Verification Form
Beginning January 22, employers must only use the new I-9 Form dated November 14, 2016, which replaces the form dated March 8, 2013.
United States
27 Jan 2017
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