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Fiduciary Crunch Time
Retirement industry providers are preparing careful responses to the fiduciary rule
Tag: Investment advice
Court Hearings on Fiduciary Litigation Offer Little Clarity
ERISA specialist Erin Sweeney recently attended a key hearing in one of the five ongoing pieces of litigation filed against the DOL fiduciary rule reforms; she offers an...
IFS Releases Toolkit to Help Advisers With Fiduciary Rule
'The DOL Advisor Toolkit' provides tools that will guarantee advisers act in compliance with the new fiduciary rule.
Complaint Questions Advisory Fee Breakdown
A new proposed class action lawsuit suggests two providers were less than forthcoming about the real breakdown of advisory fees and underlying service arrangements.
PANC 2016: Fiduciary Rule Aftermath for RIAs
Even registered investment advisers, who have been acting as fiduciaries, will be impacted by the new rule.
New SEC Rule Impacts Adviser Reporting
The SEC adopted new final rules to enhance information reported by registered investment advisers under Form ADV.
DOL Responds to Fiduciary Rule Lawsuit
The agency defends its authority to issue a new rule and to extend provisions of the rule to IRAs.
Technical Updates to Fiduciary Rule ‘BIC’ Published by DOL
The DOL published a pretty substantial list of technical corrections to the Best-Interest Contract Exemption—including mostly minor clarifications but also a few potentially substantial adjustments.
LIMRA LOMA SRI Launches Fiduciary Training Course
According to LIMRA LOMA Secure Retirement Institute, nearly three in four DC plan providers believe they will need to train their employees about the new DOL fiduciary rule.
Mandatory RIA Succession Planning in the Works at SEC
The Securities and Exchange Commission is proposing a new rule and rule amendments under the Investment Advisers Act of 1940 aimed at bolstering advisory industry succession planning.
Nationwide to Offer Education Series on Fiduciary Rule
The firm will hold both local events and webcasts featuring its own and outside experts.
PSNC 2016: Washington Insights
Litigation is the main concern for DC plan sponsors right now.
Latest DOL Fiduciary Rule Lawsuit Spotlights Insurance Industry Concerns
Two national insurance advocacy groups have “reluctantly” joined the growing list of plaintiffs asking the federal courts to declare the DOL’s new fiduciary rule arbitrary and capricious.
Bird’s Eye View of Evolving Asset Management Landscape
Could Google one day be a top provider of investments or financial advice? What about Facebook, or Amazon?
Familiar Challenges Could Dog State-Based DC Plans
A new report from The Pew Charitable Trusts lends some support to the arguments many providers have raised against the increasing prevalence of state-based retirement plans for the...
Anticipated Lawsuit Against DOL Fiduciary Rule Has Arrived
A coalition of national financial and business trade groups has filed a lawsuit to strike down the DOL’s new regulations that will require most brokers and investment consultants...
Clients Want and Need Deeper ESG Insights
Enthusiasm about environmentally responsible investing has bloomed in the wake of recent DOL rulemaking, but a new TIAA survey shows a knowledge gap persists.