Displaying 108 results
Brokerage industry opposes Massachusetts fiduciary rule proposal at hearing
Investor-protection advocates don’t expect state to water down measure
Looking back on a year of great progress for our industry
Laws and rules passed by state legislators and regulators can have just as profound an impact on our industry as the measures that grab the headlines.
CFP Board’s enforcement program needs a shake-up: report
Self-reporting of regulatory issues by advisers has been a clear weakness.
Why retirement plan advisers should act as 3(38) investment fiduciaries
And why they should charge plan sponsors less for the service.
Massachusetts advances fiduciary duty proposal; public hearing required prior to final rule
Bay State, New Jersey regulations could set standard for other states
Could Reg BI be a business opportunity?
The SEC's regulation could give some firms a way to set themselves apart from the rest
Top 10 fiduciary misconceptions among 401(k) plan sponsors
These may be more problematic than fiduciary mistakes
ESG data getting better as the market matures
In one indication of how rapidly the market is evolving, S&P Dow Jones launched the S&P 500 ESG Index in January.
New DOL advice rule must factor in reality of aging investors
More than any other client segment, older people rely on advisers to be their honest guide
Does Reg BI really hold brokers to a higher standard than investment advisers?
The question is how much mitigation and elimination of conflicts — versus disclosure — will really happen at firms and be required by the SEC.
How should advisers treat rollovers from 401(k)s to IRAs?
There are certain traps for unwary advisers, such as specific disclosure requirements.
CFP Board expands fiduciary duty for financial advisers
New rule, effective in 2019, requires best-interest standard in all aspects of financial advice.
Fiduciary rule shifts power to broker-dealer compliance departments
As firms try to limit their liability under the DOL rule, new problems have arisen.
Georgetown sued for allegedly violating fiduciary duties in its 403(b) plans
Plan participants claim 'inefficient and costly' system.
Fiduciary conduct is good for business
Following fiduciary best practices strengthens client relationships and makes them more enduring.
Most defined-contribution executives not aware of their fiduciary duties
Recent surveys highlight troubling gaps that reduce operational efficiency and increase risks of ERISA lawsuits.
401(k) advisers under pressure to keep up with due diligence of investment products
Fiduciary concerns under ERISA include cost compression, product development and regulatory pressures.
ICI’s Paul Schott Stevens: DOL fiduciary rule review is opportunity for SEC
Jay Clayton, chairman of the Securities and Exchange Commission, has a window of opportunity to work with the Department of Labor to establish a consistent best-interest standard of conduct that spans retirement and non-retirement accounts.
3(38) vs. 3(21) investment fiduciary services: the pros and cons for 401(k) advisers
As lawsuits targeting 401(k) plan sponsors have proliferated and buzz around the Department of Labor’s fiduciary rule…
Regulatory changes abroad hint at the DOL fiduciary rule’s potential impact
U.K., Australia both passed fiduciary rules, though their versions weren't limited to retirement advice. How have they fared, and what can U.S. advisers learn from them? (More: Coverage of the DOL fiduciary rule from every angle)
