Compliance Consult PLANADVISER July/August 2022

Compliance for Wealth Managers

PTE 2020-02 cannot resolve all conflicts of interest.

Reported by

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Compliance

August 14th, 2025

The government contractors are facing excessive-fee allegations, but a federal judge dismissed complaints about their improper use of forfeitures.

Compliance

July 31st, 2025

A third ESOP bill was originally scheduled to be voted on during the hearing, but no vote was held

Compliance

July 29th, 2025

The campaign includes a website, which urges Aronowitz’s confirmation and includes sections called “How ESOPs Benefit Everyone” and “What’s the...