Strategic Insight Research Ties DOL Rule to Institutional Pricing
A new study from Strategic Insight predicts the DOL fiduciary rule will accelerate demand for institutional pricing of mutual funds sold through intermediaries.
Tag: Department of Labor (DOL)
LPL Adds HiddenLevers to Affinity Program
The latest addition to the LPL Affinity Program is aimed at helping advisers comply with requirements of the new DOL fiduciary rule.
DOL Complaint Alleges Fiduciary Failures by Adviser
A complaint filed in a Pennsylvania district court by the DOL’s Employee Benefits Security Administration alleges a list of ERISA infractions related to fees, documents, disclosures and processes...
Plan Sponsors Clearly Focused on Fiduciary DC Specialist Advisers
For the first time in seven annual editions of its Plan Sponsor Attitudes Survey, fiduciary responsibility is cited as the top reason 401(k) retirement plan sponsors start using...
Advisers Sound Optimistic Note in Fiduciary Survey
Most advisers feel they are making good progress on addressing the Department of Labor fiduciary rule, according to a Nationwide Retirement Institute survey.
Editor’s Letter
The ‘Threat’ of the PPA
The PPA is the most comprehensive reform of the U.S. pension laws since the enactment of ERISA
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A Work in Progress
While the Pension Protection Act helped to improve retirement plans considerably, there still is a great deal more work to...
servicing strategies
Staying Within Bounds
Does the new fiduciary rule create a fine line between education and advice?
Compliance Consult
Don’t Forget About Sweep Programs
Prohibited transactions under the new fiduciary rule
Court Finds Union Fund Trustee, Counsel Guilty of Retaliation
The DOL charged that workers for a union trust fund were fired for filing an internal complaint regarding wrongdoing by the trustee and cooperating with a federal criminal...
State Street to Pay $60M to ERISA Clients for FX Practices
The payment is part of a settlement of a combined lawsuit by the DOL and SEC.
DOL Offers Grants to Develop Retirement Plans for Low-Wage Workers
The Department is offering $100,000 in funding through the Portable Retirement Benefits Planning program.
New Fiduciary Appointed to $2 Million Retirement Plan
The plan sponsor ceased operations in 2004 and never properly terminated the plan.
Advisory Council Meeting to Focus on Plan Transfers, Cybersecurity
Organizations and individuals in the retirement plan community are invited to submit comments or request to address the ERISA Advisory Council.
Pension Fund Ordered to Change Provider Selection Process
The conditions are part of a lawsuit settlement with the DOL.
DOL Responds to Fiduciary Rule Lawsuit
The agency defends its authority to issue a new rule and to extend provisions of the rule to IRAs.
Regulators Propose Form 5500 Annual Report Modernization
The IRS, EBSA and the PBGC want to simplify and improve the process of creating and submitting the Form 5500 for employers.