The Labor Department announced it would not pursue claims against fiduciaries acting 'diligently and in good faith' to comply with the rule through Jan. 31, 2022, and it would not enforce rollover requirements through the end of June.

NobleVest Private Wealth consists of three breakaway founders from Morgan Stanley and one from Ameriprise; it is Sanctuary Wealth’s 17th breakaway firm of the year and the second in the state.

Practitioners should pursue these objectives.

Already working with more than 400 firms, BasisCode's compliance tech features will be incorporated into Orion's advisor offering.

Already working with more than 400 firms, BasisCode's compliance tech features will be incorporated into Orion's advisor offering.

Model portfolio marketplaces on fintech platforms were hyped as the next wave of innovation for indie advisors. But some asset managers say the money is just not showing up.

One securities attorney said SEC staff will likely continue identifying firms that did not file and deliver their disclosure forms on time, saying it was the “lowest-hanging fruit” of CRS-related enforcement actions.