Tag: Investment advice

The House voted Tuesday to pass the Retail Investor Protection Act, which would delay any fiduciary updates issued by the Department of Labor (DOL) or the Securities and...

The right metrics and valuation strategy can help defined contribution (DC) plan investment committees cut through the complexity of evaluating target-date fund (TDF) performance.

“While we as advisers understand a lot of pieces of the puzzle, the plan sponsor doesn’t,” Keith Gredys, CEO and president of Kidder Benefits Consultants Inc., told attendees...

The type of adviser you are—fiduciary or nonfiduciary—dictates your business model, said Brad Campbell, counsel in Drinker Biddle & Reath’s Washington, D.C., office and speaker at the PLANADVISER...

The risk alert addresses business continuity and disaster-recovery planning for investment advisers. 

In a phone forum, representatives from the Internal Revenue Service (IRS) discussed how plan sponsors can prepare for and handle an audit.

The investment strategies group of Mesirow Financial rolled out fiduciary services for ERISA sections 3(21) and 3(38) through CPI Qualified Plan Consultants Inc.

It’s a situation dreaded by every service provider to a retirement plan: an investigation by the Department of Labor (DOL).

A Web-based investment-filtering tool from Paychex Inc. simplifies investment aggregation and identification for advisers.

A coalition of organizations urged Mary Jo White, chairman of the Securities and Exchange Commission (SEC), to establish a uniform fiduciary standard for broker/dealers and advisers.

The Prudent Practices and Prudent Practices for Investment Fiduciaries handbook series were updated by fi360 to keep current on fiduciary guidance for investment professionals.  

Legislation introduced by Congresswoman Maxine Waters would give the Securities and Exchange Commission (SEC) the authority to impose user fees on investment advisers.

The Securities and Exchange Commission (SEC) said that William M. Stephens solicited investors and was paid fees, but never registered as a broker. 

As government looks for budget solutions, defined contribution tax breaks fall in the crosshairs.

Mutual fund trustees may display favoritism toward funds from their own firms, said researchers at Indiana University at Bloomington.

Attorney General Eric T. Schneiderman announced a settlement of more than $210 million with Ivy Asset Management.

Plan sponsors and fiduciaries can learn from federal court findings in Tussey v. ABB Inc., and should avoid overly detailed investment policy statements (IPS), a white paper asserted.

A good quarterly review starts with an effective meeting agenda, panelists told attendees of the 2012 PLANADVISER National Conference.