Compliance News PLANADVISER May/June 2018

Compliance News

Legislative and judicial actions

Reported by

John Manganaro and Rebecca Moore

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Data & Research

October 31st, 2024

Most Hybrid RIAs Favor Retirement Fiduciary Standard

DPL Financial Partners, which works in commission-free annuities, released a survey of RIAs and broker/dealers regarding the DOL’s stalled fiduciary...

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Treasury Launches Financial Inclusion Plan, Stresses SECURE 2.0 Provisions

The department’s report includes a strong focus on implementing programs like the Saver’s Match.

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October 21st, 2024

DOL Publishes 1st List of Firms Using Qualified Plan Exemptions

The list includes nearly 900 companies as part of the DOL’s finalized amendment to PTE 84-14.