News
Stay up to date on the latest news, industry updates, and releases related to Broadridge Fi360 Solutions.
Morningstar: Industry’s idea of clean shares may not be clean enough
BenefitsProJuly 19, 2017
Clean shares of mutual funds, the investment innovation designed to allow brokers and advisors to serve as level fee fiduciaries under the Labor Department’s conflict-of-interest rule, are expected to revolutionize how financial professionals are compensated and how their clients pay for services.
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Fi360 Puts Data in the C-Suite with Hire of Chief Data Officer
July 17, 2017
Fi360, the nation’s leading provider of fiduciary-related education and tools, announces today the hiring of technical specialist Steve Engelhardt, CFA, as its chief data officer, a new role at the company.
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Despite leaner budgets, SEC’s Clayton anticipates a 5% increase in adviser exams next year
InvestmentNewsJune 27, 2017
If Securities and Exchange Commission Chairman Jay Clayton has his way, registered investment advisers will see more oversight from auditors next year.
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SEC budget request could make it harder for agency to increase adviser examinations
InvestmentNewsJune 23, 2017
The SEC budget request for 2018 projects 1,044 full-time OCIE employees, down from 1,069 in fiscal 2017
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L.A.‘s Capital Group accused of bilking employees — by pushing its own mutual funds
Los Angeles TimesJune 22, 2017
Capital Group is the latest of several investment firms that have been targeted by lawsuits claiming that the companies push employees into actively managed mutual funds at a time when cheaper, passive funds that simply invest in the broader market are a better alternative.
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DOL fiduciary rule: When advisers actively seek to use BICE
InvestmentNewsJune 14, 2017
Duane Thompson, senior policy analyst at Fi360, weighs in on the BICE exemption as it applies to the fiduciary rule.
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