Weekday news and analysis for retirement plan advisers

Tuesday, October 22, 2024 Exclusives | Awards | Research | Events

Compliance SEC’s 2025 Exam Priorities Include Fiduciary Conduct, AI Use The regulator also listed compliance procedures and Regulation Best Interest in its list of priorities published Monday. News Feed Quick Links Deals & People Practice Management Products Client Service Data & Research Investing Compliance

RIA Hightower to Take Majority Stake in NEPC The deal will combine NEPC’s institutional investment, research and OCIO capabilities with Hightower’s rapidly growing registered investment advisory network.

Today’s Most Read 1. Federal Appeal of DOL Fiduciary Rule Ends in Circuit Court 2. A New Age for PEPs 3. TIAA, Vanguard to Offer Target-Date Lifetime Income CIT Series

Larry Fink Sounds Alarm on US Retirement System Fink looks to other countries, such as Australia, for pension system models.

Steinmeier Named LPL’s CEO, Replacing Ousted Arnold LPL analyst predictions hold true, as Interim CEO Steinmeier earns the top job less than one month after the firm’s CEO was fired for misconduct.

DOL Publishes 1st List of Firms Using Qualified Plan Exemptions The list includes nearly 900 companies as part of the DOL’s finalized amendment to PTE 84-14.

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