The federal regulator's exam priorities highlight risks for broker-dealers and investment advisers, with an emphasis on ...

In today’s article, we examine Hofman v. Braun, 2025 N.Y. Slip Op. 34102(U) (Sup. Ct., N.Y. County Oct. 24, 2025) (here), a case addressing ...

Explore how communication failures in real estate can lead to costly errors and ethical mistakes related to fiduciary duty.

Directors who fail to establish comprehensive AI governance frameworks now face meaningful legal liability, while those who ...

Many items on the commission’s examination agenda for 2026, such as advisors’ fiduciary duty and AI, are familiar, but ...

The U.S. Securities and Exchange Commission on Monday dropped its emphasis on the oversight of companies offering crypto ...

The Texas Supreme Court issued a significant clarification on when shareholders may sue individually rather than derivatively for breach of ...

Whenever a new technology or compliance requirement is introduced, it often disrupts established processes and can lead to ...

As the debate over the Clear Cooperation Policy (CCP) and the proliferation of private listings has heated up, the term “fiduciary duty” has been bandied about. But could listing a client’s property ...

The authority held that complaint-related submissions received from Insolvency Professionals are held in fiduciary capacity and exempt under Section 8(1)(e). The ruling reiterates that RTI cannot be ...

If you’ve searched for a financial advisor recently, you’ve likely run into a word that wasn’t widely associated with the profession before the mid-2010s: fiduciary. Financial advisors are ...