Regulatory & compliance | education
Plan committee members’ fiduciary training should never end.
DOL narrows focus in final rule to pecuniary factors.
Regulatory & compliance | litigation
When the rash of litigation yields scant legal precedent, what can advisers take away?
In terms of plan investing, fiduciary duty continues to come first.
The committee says the SEC should explicitly explain that Regulation Best Interest is a fiduciary duty shared equally by advisers and broker/dealer to act in their customers’ best interest.