Fiduciary Insights from Fidelity Policy Development Leader |
As former tax counsel for the U.S. Senate Finance Committee, Fidelity Investments’ Doug Fisher has watched major legislation and regulation unfold from both inside and outside government.
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TDFs Affect Retirement Plan Participant Trading Activity |
According to the Aon Hewitt 401(k) Index, 2015 was the lightest trading year on record for participants in defined contribution plans—a trend that is, at least in part, directly attributable to the increasingly important role of target-date funds.
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Fiduciary Ordered to Restore Misused Assets to Retirement Plan |
Even after a previous compliant filed by the DOL, a fiduciary to the Applied Technology Systems Retirement Plan transferred plan assets to a company account.
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FINRA Gives Tips for Robos |
The Financial Industry Regulatory Authority emphasizes in a new report that financial services firms using digital advice tools need effective ways to oversee suitability of recommendations, conflicts of interest, customer risk profiles and portfolio rebalancing.
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