Tag: Regulatory Activity/Fees

PANC 2015: Participant Advice

Under the proposed DOL fiduciary definition, the types of information given to participants are restricted or permitted and the adviser’s compensation model will also be affected. Yet advisers may be more crucial than ever to participants' success.

Adviser Settles with SEC Over Defunct Cyber Risk Policy

The amount of cyber risk exposure in the financial services industry can be downright frightening to think about, but details of a recent settlement reached between the SEC and a St. Louis-based financial planner contain important lessons for retirement specialists assessing their own cybersecurity policies.

Industry Looks to Ease Investor Jitters

The usual flow of retirement research and market commentary is being complemented this week by a refreshing look at the fundamentals—at the roles volatility and perception play in global markets.