Compliance Consult PLANADVISER July/August 2022

Compliance for Wealth Managers

PTE 2020-02 cannot resolve all conflicts of interest.

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Client Service

March 1st, 2024

Plan sponsors are gravitating toward 3(38) investment managers, letting advisers take the wheel, according to a CAPTRUST senior plan adviser.

Compliance

January 23rd, 2024

The changes are intended to reduce the amount of time needed to finalize prohibited transaction exemptions for plan fiduciaries.

Compliance

December 13th, 2023

The highly controversial proposal from the DOL has received support from major industry actors, including the CFP Board and FPA,...