Tag: Fiduciary adviser
Editor’s Letter
Best Interest?
By now, we have all read and reviewed the Department of Labor (DOL)’s revised “conflict of interest” rule—or, as we...
servicing strategies
Leveraging ERISA Attorneys
Advisers can benefit from working with lawyers in the field
PSNC 2015: The Regulatory Environment
Lifetime income, service provider process changes and privacy of retirement plan information are just a few things for which plan sponsors need to prepare.
Top Advisers Talk Current Client Service Trends
Sharing survey data with PLANADVISER from its third annual Defined Contribution Advisor Summit, J.P. Morgan suggests top advisers are feeling energized by the current market environment.
Fiduciary Rule Could Have Unintended Consequences
The proposed conflicted investment advice rule from the DOL is designed to protect retirement plan and IRA participants, but experts attending the ASPPA Virtual Conference aren’t sure the...
Envestnet Partners with Securities America Advisory Network
Securities America Inc. says it will provide its network of 2,000 independent advisers with access to Envestnet Retirement Solutions’ retirement specialist adviser workstation technology.
When a Committee of One Runs a 401(k)
Tax-qualified retirement plans run by small business owners must comply with ERISA—whether the sponsor is familiar with the landmark legislation or not.
CARDS Initiative Tabled for Now by FINRA
Comments delivered by FINRA leadership suggest the financial industry regulator is pumping the breaks on its controversial CARDS initiative.
75 Days Inadequate for Fiduciary Review, Groups Say
Sixteen industry groups are asking the Department of Labor (DOL) to extend the comment period on the fiduciary proposal.
Fiduciary Changes Still Hard to Grasp
The DOL’s proposed fiduciary rule is complex and wide-reaching, one experienced ERISA attorney tells PLANADVISER, so the financial industry needs more time to digest the potential implications.
New Partnership to Offer Qualified Plans
MillenniuM Investment and Retirement Advisors has teamed with TriCore to offer an integrated, open-architecture qualified plan program.
Too Soon to Assume the Worst About Fiduciary Rule
Federal government rulemaking seldom moves quickly, and in the case of the DOL fiduciary rule, observers warn the final impact of the consumer protection regulation remains anyone’s guess.
Changes Plan Sponsors Would See with New Fiduciary Rule
With so much industry attention fixed on the DOL’s proposed fiduciary rule language, plan sponsor clients will undoubtedly be asking, “What does it mean for us and our...
DOL Hopes to Thread Needle with Exemption-Based Fiduciary Rule
By its nature as a fundamental mechanism of ERISA, the fiduciary standard applies to a myriad of highly specific circumstances playing out between retirement plan advisers and sponsors...
DOL Says Today Is the Day for Fiduciary Rule Language
After years of waiting, the retirement plan industry will later today see a revised “consumer protection proposal” from the Department of Labor that some expect to redefine ERISA’s...