IRS Issues Proposed Regulations Providing Guidance On The Tax Qualification Of Mutual Funds -
On September 27, 2016, the Internal Revenue Service (IRS) issued proposed regulations (Proposed Regulations) that provide...more
12/15/2016
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Conflicts of Interest ,
Controlled Foreign Corporations ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
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Income Taxes ,
Insider Trading ,
Investment Adviser ,
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Mutual Funds ,
OCIE ,
Passive Foreign Investment Company ,
PCAOB ,
Proposed Regulation ,
Registered Investment Companies (RICs) ,
Rule G-37 ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
Investment Adviser AXA Wins Excessive Fee Trial -
A federal judge in New Jersey has ruled in favor of AXA Equitable Life Insurance Company (AXA Equitable) and its wholly owned subsidiary, AXA Equitable Funds Management...more
10/27/2016
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Beneficial Owner ,
Best Interest Contract Exemptions ,
BSA/AML ,
Business Continuity Plans ,
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Customer Due Diligence (CDD) ,
Cybersecurity ,
Department of Labor (DOL) ,
Derivatives ,
Disclosure Requirements ,
Distribution Rules ,
Employee Benefits ,
Employee Retirement Income Security Act (ERISA) ,
Excessive Fees ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Form ADV ,
Form N-CEN ,
Form N-PORT ,
Industry Examinations ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
Limited Liability Company (LLC) ,
MSRB ,
Mutual Funds ,
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Partnerships ,
Private Equity ,
RAUM ,
Reporting Requirements ,
Required Forms ,
Retirement Plan ,
Rule G-37 ,
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SMAs