The Form 5500 is a foundational document for all qualified retirement plan clients; advisers can expect the document to be shared among regulators for potential review.
Advisers are “keenly aware of their clients’ moods and recognize that there are no ‘one size fits all’ retirement plans in the face of an unpredictable future,” research...
Many of the questions advisers and providers have asked about the Department of Labor fiduciary rule relate to the line drawn between fiduciary and non-fiduciary client communications.
A new series of white papers from Fiduciary Benchmarks asks the challenging question, “Who has the job of determining whether an adviser’s compensation is reasonable?”
The U.S. Department of Labor is suing the fiduciaries of a Vermont employee stock ownership plan for violations of the Employee Retirement Income Security Act.
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.
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.
Some 40% of investors say they are fundamentally interested in life insurance products—and many are interested in speaking with wealth advisers about how to use them properly.
The DOL and EBSA announced a final rule to assist large cities and other political subdivisions establish payroll deduction IRAs for private-sector workers.
Few know the Employee Retirement Income Security Act (ERISA) as well as ERISA attorneys; at PLANADVISER, we’re lucky to rely on some of the best in the business...
The National Association for Fixed Annuities has failed again to win an injunction in a DOL fiduciary rule challenge that was previously defeated in a federal district court...
As implementation of the DOL’s fiduciary rule approaches, advisers may have to choose between remaining in the DC business and pursuing traditional wealth management.
Donald Trump has nominated an outspoken critic of federal government regulation as DOL secretary, placing more uncertainty on the future of the fiduciary rule, according to some observers.