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| 401(k) Rollovers to IRAs |
| How does the delay of the DOL fiduciary rule affect my responsibilities when I recommend that participants take distributions from an ERISA plan and roll them over to an individual retirement account that I will advise?
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| Plan Assets and Prohibited Transactions |
| When analyzing whether a prohibited transaction has occurred, there are certain threshold questions that need to be asked. If the alleged violation is said to be an Employee Retirement Income Security Act (ERISA) Section 406(b) violation, it is necessary to establish that at least one of the parties is a fiduciary and that plan assets were involved. The presence of plan assets will be obvious but not in all cases.
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| SEC Weighs In On ‘Robo-Advisers’ |
| In February, the Division of Investment Management of the Securities and Exchange Commission issued guidance on how registered investment advisers who act as “robo-advisers” may comply with the Investment Advisers Act of 1940. In the guidance, the SEC provided some insights as to what it may view as shortcomings in current robo-adviser program offerings.
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| 2017 PLANADVISER DCIO Survey |
| Now in its sixth year of publication, the PLANADVISER Defined Contribution Investment Only Survey continues its trend of finding a steady increase in DC plan assets among the survey’s 41 participating providers.
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| Editor’s Letter: Kicking the Can |
| The fiduciary rule is here and in effect … for now. On the morning of May 24, as I started to make sense of my email, I noticed one from the DOL and saw a news alert about the fiduciary rule. Turns out Secretary of Labor R. Alexander Acosta had written an op-ed about the status of the rule, and at the same time the DOL had released a set of FAQs and a field assistance bulletin about it.
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