Tag: ERISA

As Baby Boomers push closer to retirement, they are facing a drastically different investing world than the one they grew up in—gaining access to radically different approaches to...

A new analysis contends that, with careful governance practices in place, managing a compliant and effective retirement plan doesn’t have to be burdensome or even difficult.

A U.S. district court judge has ruled in favor of the DOL fiduciary rule’s pending implementation, defeating fixed-indexed annuity providers’ effort to stall the groundbreaking regulation in court.

Advisers will certainly have heard questions from clients about the use of 12b-1 fees moving forward under the new DOL fiduciary rule; what are the experts saying?

In light of the DOL fiduciary rule, the two firms plan to roll out a series of new compliance tools and initiatives including a Product Mix Transition Calculator...

The “Changes to Note” section of the 2016 instructions highlight important modifications to the Form 5500 and Form 5500-SF and their schedules and instructions.

Attorneys and executives working for robo advice technology providers suggest the DOL fiduciary rule—as enumerated by the new FAQ publication—paves the way for their approach to succeed.

In addition to relief for hardships and loans provided by the IRS, the DOL is relaxing rules about contribution and loan repayment submissions and blackout notices.

Broadridge looks at the new fiduciary rule’s “far-reaching implications for the retirement plan participant experience” and how to avoid pitfalls.

Acknowledging that “smart regulation is only as effective as its implementation,” the DOL has issued extensive guidance for advisers and providers seeking to comply with the new conflict...

The health system agreed to pay more than $350 million to settle a lawsuit challenging its pension plan's church plan status under ERISA.

A new toolkit is designed to help advisers comply with the DOL’s fiduciary rule through a number of tasks such as switching from fee- to commissioned-based investments.

Wells Fargo faces a third ERISA stock drop lawsuit in the U. S. District Court for the District of Minnesota.

The announcement impacts both IRAs and qualified plans. 

The DOL’s conflict of interest reform is expected by providers to have the biggest impact on financial services since ERISA was enacted in 1974, according to research from...

“The history of the ERISA industry has shown that any time there’s real change there is also real opportunity that comes along with it.”

A new software solution from RiXtrema addresses DOL fiduciary rule compliance for advisers finding themselves on a new regulatory playing field when it comes to rollover recommendations. 

New software from fi360 provides broker/dealers and advisers with advanced fiduciary oversight capabilities. 

The firm says its latest assessment tool is part of a larger readiness campaign to prepare advisers for a new fiduciary paradigm. 

A federal judge rejected defendants’ argument that the lawsuit, filed in December 2015, was time-barred by ERIA’s various statutes of limitation.