An investment adviser settled SEC charges for breach of fiduciary duty in connection with its affiliates' receipt of third-party compensation related to the sale of shares in mutual funds.
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The New York Department of Financial Services adopted a final rule that establishes a "best interest standard" for individuals licensed to sell life insurance and annuity products.
The New York Department of Financial Services proposed updating the existing suitability regulation in order to establish a "best interest" standard for life insurance and annuity product licensed sellers.