January 3, 2017
SEC Offers Guidance on DOL Fiduciary Rule Compliance
Since the DOL conflict of interest rule’s publication, mutual fund providers and their adviser-intermediaries have also been asking the SEC extensive questions about sales loads, fee schedules, etc.
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Prudent Default Can Include Lifetime Income Elements: DOL
An investment with lifetime income elements can be a prudent default investment option in DC plans, even if not a QDIA, the DOL said in an information letter.
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DC Plan Sponsors See Reason for Caution in ESG
Retirement plan advisers expect a steady stream of new ESG/SRI investment products in 2017, but it is less clear that sponsor clients are interested.
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ETFs Find DC Entry via TDFs
Seventeen TDF providers leverage exchange-traded funds as underlying investments.
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MOST READ ARTICLES
1
COMPLIANCE
Court Again Dismisses ERISA Complaint Against Disney
2
COMPLIANCE
Sorting Out The Fiduciary Rule Curveball
3
COMPLIANCE
Advisory Firm Dodges ERISA Suit Against BB&T
4
DEALS AND PEOPLE
Retirement Industry People Moves April 17 to April 21
Highlights From the 2016 PLANADVISER National Conference
Ten years of building profitable practices and evolving business models.
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Cultivating Your Practice
The right ingredients to grow your practice.
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Editorial: Alison Cooke Mintzer alison.mintzer@strategic-i.com
Advertising: Paul Zampitella paul.zampitella@strategic-i.com
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