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Cover Story
Advisers’ Future Trajectory
Firms confront a convergence of retirement plan and wealth consulting
Two Weeks Left to Comment on N.J. Fiduciary Rule
All eyes might be on the SEC’s pending vote on Regulation Best Interest, but ERISA attorneys with Stradley Ronon suggest New Jersey is now “the state to watch”...
Retirement Industry People Moves
Voya Financial hires sales head for West Coat team; Lincoln Financial adds to RPS business with new members; MassMutual appoints DCIO sales leader; and more.
Retirement Industry People Moves
Cerity Partners Connects with Karsten Advisors; Former NFL Player-Turned-Investment Adviser Joins PlanMember Financial Corp; Mutual of Omaha Retirement Services Expands Sales Team; and more.
Unlike SEC’s Approach, New Jersey Fiduciary Regs Have Teeth
The state’s former securities chief says recently issued fiduciary regulations have been crafted in the interest of aggressively tamping down on conflicts of interest in the financial services...
Retirement Industry People Moves
Broadridge acquires custody assets from TD Ameritrade; The Standard promotes and hires industry consultants; Regional sales consultant joins TRA; and more.
Investment Product and Service Launches
Vestwell and Morningstar create 3(38) service; GSAM announces first actively managed ETF; Lyxor Americas launches hedge fund program for institutional investors; and more.
New Jersey Latest State to Issue Fiduciary Regulations
Brokers who were happy to see a federal-level uniform fiduciary rule rejected by an appeals court last year may now be rethinking their stance as a patchwork of...
How To Make 529 Plan Service Pay Off
Offering advice about 529 college savings plans can deepen client relationships, though such services are not usually big revenue drivers on their own.
Compliance News
Legislative and Judicial Actions
Fiduciaries Get Final Win in Disney SuitA federal appellate court has affirmed a lower court decision in a lawsuit against Fidelity Management Trust Co. as a fiduciary to...
2019 RPAY – Cafaro Greenleaf
“Cafaro Greenleaf is constantly evolving our comprehensive service model to reflect where the industry is going, not where it is today,” says Jamie Greenleaf. “As advisers, our role...
SEC No-Action Letter Offers Guidance for Processing Rollover Checks
Banc West Investment Services asked the Securities and Exchange Commission to clarify its stance on the potential conflict between FINRA suitability determinations called for by rollover decisions and,...
Another Undisclosed Fee Lawsuit Filed Against Fidelity
According to the recent complaint, Fidelity has breached its fiduciary duties to retirement plans by charging mutual fund and other investment companies a substantial fee as a condition...
Retirement Industry People Moves
The Lanzetta Group moves to Securities America platform; Deutsche Bank hires West Coast head; Greenleaf joins Retirement Advisor Council; and more.
Retirement Industry People Moves
Nationwide Retirement Plans adds consultant relations director; Chalice creates partnership with Orion Services; GoldPoint Partners appoints managing principle; and more.
Investment Product and Service Launches
BNY Mellon rebrands retail side; Hartford Funds introduces securitized income fund; DWS Group launches equity ETF with Finland insurance company; and more.
Massachusetts Secretary Galvin Forms FinTech Working Group
The Secretary of the Commonwealth says the FinTech Working Group is the first dedicated team established by a state securities regulator specifically to provide support to, and receive...
Retirement Industry People Moves
Cetera CEO steps down due to health concerns; Wilshire announces series of promotions and hires; DWS Group adds investment solutions head: and more.
Retirement Industry People Moves
Schroders announces North American distribution hires; Senior consultant joins PEI; Wise Rhino Group hires managing director; and more.