Tag: Department of Labor (DOL)

Broker/dealers (B/Ds) can address new regulatory pressures, and new competition, by enhancing their value proposition and embracing technology, a report by Cerulli suggests.

The checklist covers various fiduciary responsibilities including those not associated with supposed delays or changes to the fiduciary rule, RiXtrema says.

The new business-development capability allows advisers to illustrate how certain changes could benefit a prospective client’s portfolio.

A participant accuses the firm of failing to prudently monitor and assess investment options for the plan.

The firm will provide 3(21) and 3(28) services through a tech-focused solution.

A review of fiduciary governance and the liability insurance policy can help 403(b) plan sponsors steer clear of the litigation whirlwind hampering the industry today.

The new relief is in addition to the Form 5500 Annual Return/Report filing relief already provided.

Loan and hardship rules, in addition to reporting requirements, have been relaxed.

Aimed at asset managers and advisers, the first in the “In the Know” brief series covers Dodd-Frank, the Financial Choice Act and more.

A new publication from Research and Markets offers a highly detailed overview of what it takes to meet the many technical requirements of ERISA. 

When asked how they would like to receive advice, respondents reported preferences for receiving advice as often as they have questions and through channels like email and 1:1...

In an ever-evolving fiduciary landscape, the tool aims to identify in real time issues that may put plan advisers at risk, such as the availability of lower-cost share...

The relief includes relaxed rules for hardships and loans and relaxed deadlines for filings and disclosures.

The Department of Labor and the White House have seemingly agreed to extend the applicability date of the full fiduciary rule and its accompanying exemptions by another year.

Charlie Cote, head of Retirement Link Sales at J.P. Morgan Asset Management, reflects on two decades of working with defined contribution retirement plan investors. 

The new compliance support programming is free for advisers and seeks to “shed light on opacity surrounding financial regulations."

Cetera Expands Retirement Business; Mercer Expands Leadership in Detroit Office; OneAmerica Names West Coast Relationship Executive.