Compliance Analysis
How to Avoid Fee Conflicts
Wealth managers can look to ERISA and the tax code for guidance.
Reported by David Kaleda
To access this premium content, please sign up for a free account!
You Might Also Like:
ERISA Advisory Council Approves 3 New QDIA Recommendations
The council is seeking to provide more participant education on retirement income options and a safe harbor for IRA rollovers.
Vanguard Plans $900B Advice and Wealth Management Division
The new division will be headed by a former Fidelity executive and be separate from Vanguard’s Personal Investor segment.
Carson Group President, Financial Planning Head Move On
Executive departures signal more reshuffling at the $38 billion advisory.