Tag: Investment advice

It sounds like the ever-elusive free lunch—an investment strategy that reduces the potential for major losses while still pursuing the market’s strongest opportunities for growth.

Judging whether conflict of interest rules permit an adviser to recommend rollovers—under both current law and the pending fiduciary redefinition—hinges on three important considerations.

Ever wonder why so many different regulators are voicing concern over employer-sponsored retirement plan account rollover practices—especially rollovers into individual retirement accounts (IRAs)?

The overwhelming majority of clients feel their advisers are serving their best interests and meeting fiduciary responsibilities, according to research from the Insured Retirement Institute (IRI).

A group of 26 members of the U.S. House of Representatives, known as the Congressional Hispanic Caucus, threw its support behind expanded fiduciary rules pending from the Department...

With the second release of its Audience of One program, J.P. Morgan Retirement Plan Services hopes to deepen engagement with participants through tailored messaging and robust data technology...

Current regulations and the current plan administration landscape make it more likely plan sponsors are complying with Employee Retirement Income Security Act (ERISA) Section 404(c).

One of the biggest mysteries haunting the industry is the impact of the revised fiduciary rule on investment product marketing for IRA rollovers.

In this new age of fee disclosure, it may be surprising to some that more than one-quarter (26.6%) of respondents to PLANSPONSOR’s 2013 Defined Contribution (DC) Survey do...

Financial advisers who propose alternative investments to their clients can expect increased, ongoing scrutiny from the Securities and Exchange Commission (SEC).

The Department of Labor (DOL) has reached a settlement with Western Asset Management Company, a subsidiary of Legg Mason Inc.

Northeast Professional Planning Group Inc. (NPPG) now offers ERISA 3(16) fiduciary services to assist plan sponsors in day-to-day administration and compliance efforts.

U.S. House members belonging to the New Democrat Coalition asked the Department of Labor (DOL) to ensure new fiduciary rules protect access to investment advice.

The Financial Services Institute (FSI) launched a mobile application providing independent financial advisers and financial services firms remote access to advocacy tools and industry updates.

The Office of Compliance Inspections and Examinations (OCIE), part of the Securities and Exchange Commission (SEC), released its list of examination priorities for 2014.

The retirement industry is anticipating a fiduciary re-definition and rules about lifetime income illustrations for plan participants, but there is much more in the pipeline.

The Securities and Exchange Commission (SEC) released twin recommendations advising Congress to align adviser and broker/dealer fiduciary standards and exact “user fees” from SEC-registered advisers.

A new poll reveals employers who sponsor equity compensation plans have an important part to play in educating employees.

Traditionally, plan sponsors and advisers have focused on fiduciary responsibilities related to the selection and monitoring of investments.

Participants and beneficiaries of the MassMutual Thrift Plan have filed a lawsuit in federal court against MassMutual.