Compliance Consult
Principal Transactions
Advisers are still fiduciaries under the 5-part test
Cover Story
Compliance Consult
ERISA vista
Intro
Editor’s Letter
Client Service
ERISA vista
Investing
Products
Practice Management
Capitol News
Compliance
The Roll of the Adviser
Money in motion through rollovers and other means
A New Best Interest Model
The SEC steps up to the plate
Rollover Recommendations
A rollover to an IRA may still be prohibited
Mastering the RFP
How to stand apart from the competition
What’s Next?
The saga of the fiduciary rule
Advisers Moving to a Client-Centric Model
Advisers are using new planning models and smarter technology, including automation, so that they can offer personalized service, SEI finds.
Policies Under the Fiduciary Rule
What the DOL expects, to ensure firms comply
Embrace of Passive Funds Is Not What It Appears To Be
In conversation with Jeff Kletti, head of investments at Wells Fargo Institutional Retirement and Trust, PLANADVISER gets an inside view of some emerging—and some familiar—defined contribution plan trends.
CapitalRock Expands Analysis for Rollover and Exchange Solution
The firm's rollover/exchange analysis will consider more plan types, including 401(k), 403(b), 457, defined benefit plans and more.
Fiduciary Concerns When Considering Managed Accounts
Managed accounts offers unique personalization catered to a participant’s needs, but are the possible fiduciary mishaps worth implementing the product?
More Advisers Hope to Switch to Independent RIA Model
A TD Ameritrade survey found interest in becoming an independent RIA among advisers is high, yet uncertainty about the future is keeping most from making their move.
Legislative and Judicial Actions
An adviser eye on Washington
DOL Allows 18-Month Extension for Fiduciary Rule’s Full Implementation
After asking OMB to review the delay, DOL decides to go ahead with it.