Search results for: hawa
Fired Probationary Workers Reinstated at EBSA
The probationary employees and head of the Department of Labor’s Division of Employee Ownership, who were recently terminated, reportedly received notices that their positions will be reinstated.
ERISA Advisory Council Status Unclear
The ERISA Advisory Council has not yet set a date for the year’s first meeting, and the DOL has also not yet published reports the council presented to...
Advisory M&A News – 1/21/25
Waverly Advisors acquires Dickinson Investment Advisors; Integrated Partners expands West Coast Footprint with addition of RetirementDNA; Concentric Wealth Management joins MAI Capital Management.
DOL’s Khawar, Among Architects of New Retirement Fiduciary Rule, To Step Down
The career EBSA official who had been appointed by Biden to principal deputy assistant secretary will be leaving January 20.
New PEP for Head Start Programs Launches With Oregon-Based Plan Sponsor
The pooled employer plan focused on 403(b) nonprofit educational programs is sponsored by GPS, with investment fiduciary services from the Fraser Group.
Advisory M&A News – 8/12/24
Cetera’s TRPG acquires $180M advisory; Carson Group adds Texas-based advisory to network; Equita Financial adds 3 women-owned firms to advisory platform.
Advisers Compliant with Reg BI are Compliant with Fiduciary Rule, EBSA Says
Ali Khawar added that insurance agents should be knowledgeable of the assets a client is giving up to buy an annuity.
DOL Issues Final Retirement Security Rule
The much-anticipated fiduciary rule brings retirement plan advisement, one-time rollovers and annuity recommendations under ERISA.
Retirement Industry People Moves – 3/8/24
Alerus adds retirement sales consultant; Voya hires sales director; PSC retirement gets new CEO with PE deal; and more.
New Voluntary Correction Rules Could Be Finalized Soon
In ‘the next few months,’ fiduciaries may be allowed to self-correct certain administrative errors.
Retirement Industry People Moves – 2/16/24
Alerus names retirement sales consultant; Vestwell appoints pair of regional VPs; Wagner Law Group adds to Taft-Hartley practice; and more.
Adviser Talks: Scott Ciullo on Participant Enrollment
The director of retirement plans for KerberRose Wealth Management walks through a case study for on-site participant enrollment.
Retirement Industry People Moves – 11/10/23
CAPTRUST adds Leddy as chief compliance officer; Voya hires Harrell as regional vice president; MissionSquare names Whiting SVP, chief sales officer; and more.
Best Practices To Vet a Vendor’s Cybersecurity Practices
Experts in Cybersecurity provide tips on how to assess partners' defenses in a recent PLANADVISER Cybersecurity livestream.
Compliance Analysis
The SEC on Cybersecurity
Review your policies and procedures—it’s a fiduciary duty
What Advisers Should Know About Cybersecurity Insurance
Experts provide insight into an insurance market predicted to grow from $6 billion to $33 billion in coming years.
DOL’s Khawar Says ‘Partnership’ Needed to Combat Cyber Risks
The principal deputy assistant secretary for EBSA discusses how plan fiduciaries have been using DOL best practice guidance, and why health care may be next.
Investment Product and Service Launches
Snappy Kraken introduces AI email builder; American Life & Security Corp. launch annuity product; Vanguard expands active lineup; and more.
IRS Provides Tax Relief for Hawaii Wildfire Victims
Victims of the wildfires on the islands of Maui and Hawaii are eligible for Internal Revenue Service tax relief, including waiving the penalty fee for hardship withdrawals.
Does Swing Pricing Have a Time Zone Problem?
Several House Democrats expressed concern to SEC officials that a hard close at 4 p.m. Eastern time would discriminate against investors on Pacific time.