- DOL Issues Statement on Duties of Certain Plan Fiduciaries in Light of Recent Mutual Fund Investigations
- SEC Staff Publishes FAQ on Amended Advisers Act Custody Rule
- Federal Banking Agencies Issue Advisory on Accounting for Deferred Compensation and BOLI
- SEC No-Action Relief Permits Broker-Dealers to Rely on Registered Advisers to Perform AML Customer Identification Programs
- OCC Issues Letter Reconfirming Confidentiality of SARs; New Director of FinCEN Describes Next Steps in Implementing PATRIOT ACT
- OTS Proposes Changing Assessments of SLHCs