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Monday, December 27, 2021 Just like the rest of us, the financial services industry wasn’t immune from the numerous and unprecedented pandemic-related challenges over the past year. Through our annual Financial Markets Litigation and Enforcement Symposium Series, we were able to take a deeper look at the state of futures, trading, and securities regulatory and enforcement […]

The Division of Labor is extending its grace interval for these working to adjust to the fiduciary rule that was passed in the final weeks of the Trump administration.  Whereas the rule on exemptions for prohibited transactions went into effect in February of this 12 months, the DOL initially assured fiduciaries that that they had […]