Tag: DoL

Keeping Clients Safe

Past Advisers of the Year discuss the evolution of their fiduciary services.

PANC 2020: Washington Update

Retirement plan advisers were given ideas to consider and actions to take in response to new legislation, regulation and litigation.

PANC 2020: Conflict Ahead

Reg BI, a new fiduciary rule proposal from the DOL and state-enacted fiduciary rules—what advisers should keep in mind.

New Fiduciary Rule Ahead

The main theme of the DOL’s new rule proposal is in alignment with other regulators—the SEC and FINRA in particular—but the agency is not surrendering its jurisdiction over tax-qualified retirement plans.