Tag: Department of Labor (DOL)

Of course, this review could lead to a delay in, or even halt of, implementation of the rule.

The Getting It Right - Know Your Fiduciary Responsibilities seminar will be held at Arizona State University - Skysong on February 15.

More than half of Americans believe the Trump administration will have an impact on their retirement savings strategies.

Experts in several discussions this week suggested organic market factors could take the place of DOL rulemaking that under the Obama Administration sought to raise the conflict of...

According to both district and appellate court rulings, the ESOP fiduciaries knowingly offered the employer stock at an inflated price. 

Conflicting media reports have started to circulate, some to the effect that a delay of the DOL fiduciary rule has already been effectuated—others that are more skeptical this...

The Form 5500 is a foundational document for all qualified retirement plan clients; advisers can expect the document to be shared among regulators for potential review. 

Advisers are “keenly aware of their clients’ moods and recognize that there are no ‘one size fits all’ retirement plans in the face of an unpredictable future,” research...

Many of the questions advisers and providers have asked about the Department of Labor fiduciary rule relate to the line drawn between fiduciary and non-fiduciary client communications.

Flat-fee models clearly favored by the DOL for being perceived as less conflicted will have a competitive edge in the new fiduciary future.

The DOL has filed a lawsuit seeking $82,000 to restore retirement and health plan contributions, plus interest.

A new series of white papers from Fiduciary Benchmarks asks the challenging question, “Who has the job of determining whether an adviser’s compensation is reasonable?”

The legislation aimed at delaying implementation of thousands of pages of DOL fiduciary rule language could fit in a handful of tweets.

The U.S. Department of Labor is suing the fiduciaries of a Vermont employee stock ownership plan for violations of the Employee Retirement Income Security Act.

Since the DOL conflict of interest rule’s publication, mutual fund providers and their adviser-intermediaries have also been asking the SEC extensive questions about sales loads, fee schedules, etc. 

An investment with lifetime income elements can be a prudent default investment option in DC plans, even if not a QDIA, the DOL said in an information letter.

Some 40% of investors say they are fundamentally interested in life insurance products—and many are interested in speaking with wealth advisers about how to use them properly. 

The DOL and EBSA announced a final rule to assist large cities and other political subdivisions establish payroll deduction IRAs for private-sector workers.