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| Peering Through the Regulatory Kaleidoscope |
| Spend any significant amount of time in the retirement planning industry and, whatever the role, one will inevitably hear about the negative impact of “regulatory uncertainty.” Has it always been this way?
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| The Power of Hosting Events |
| Spectrum Investment Advisors values visual presentation and experience. So, when company President James Marshall committed to erecting a new building five years ago, in Mequon, Wisconsin, it was outfitted with an engaging meeting space, where plan sponsors and participants could come attend seminars, gain insight into the firm’s workings—not to mention, drink a little coffee.
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| In Memoriam: How the Fiduciary Rule Changed the Retirement Industry |
| With the news emerging that the 5th U.S. Circuit Court of Appeals has certified its ruling to vacate the DOL fiduciary rule, Scott Gehman, a retirement plan consultant with Conrad Siegel, reflects on what is already an important legacy for the short-lived set of conflict of interest reforms.
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| Stage Set for Fiduciary Jurisdiction Test Between DOL and SEC |
| Experienced ERISA attorneys and retirement industry executives project some possible outcomes of the DOL and SEC conflict of interest reform process; some expect a broad new proposal could emerge as soon as this week from the SEC.
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| FINRA Rep Monitoring Rule Change Could Trigger RIA Compensation Renegotiation |
| The regulator is reassessing its requirements for RIAs to monitor the outside business activities of their reps; one experts argues it is likely that, if the final rule reflects the proposed rule, many plan advisers who serve plans through an independent RIA (as opposed to the broker/dealer’s “corporate” RIA) will seek to renegotiate their compensation arrangements relating to their independent RIA revenue.
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| Fee and Industry Shifts Mean Retirement Plan Providers Can Play Hardball |
| A look back at how Fidelity will charge new plan sponsor clients on its platform who choose Vanguard products makes visible the hard-nosed competition that defines the retirement plan recordkeeping and brokerage industries.
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