DTCC to Launch New Fiduciary Insurance Profile Service
The new service, known as Insurance Profile, facilitates compliance with the Department of Labor fiduciary rule during the sale and service of annuities.
Tag: DoL
Advisers Scrambling to Adjust DC Plan Client Investment Lineups
More than half (55%) of the DC plan advisers surveyed by Ignites Retirement Research either plan to, or are very likely to review the mutual funds used in...
DOL Drops Lawsuit Over Contractor's Failure to Pay 401(k) Contributions
The DOL filed a proposal to dismiss the lawsuit after the contractor made a payment to the plan.
Lawsuit Challenges BIC Exemption’s Creation of Class Action Remedy
Thrivent alleges the DOL has exceeded its authority by requiring that the BIC Exemption include a contractual agreement that customers could pursue a breach of contract action and...
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IPSs Are a Good Defensive Move
They help advisers and sponsors focus on prudent investor rule
DOL Conflict of Interest Rule Could Force Staff Changes
More than half of broker/dealers surveyed by the LIMRA Secure Retirement Institute believe some of their advisers will retire rather than sell under the new.
Conflicted Findings in Fidelity Fiduciary Rule Impact Study
Fidelity finds the number of financial advisers who see opportunity in DOL conflict of interest reform has more than doubled in recent months; other advisers are planning to...
cover story
New Frontier
What the past decade has meant for retirement plan advisers and where the industry will go from here
Court Hearings on Fiduciary Litigation Offer Little Clarity
ERISA specialist Erin Sweeney recently attended a key hearing in one of the five ongoing pieces of litigation filed against the DOL fiduciary rule reforms; she offers an...
Organizations Receive Grants to Explore Retirement Savings Options
The DOL previously announced it is offering grants to facilitate research into retirement plans for low-wage earners.
DOL Sues Nursing Home for Mismanaging Retirement Plan Assets
The lawsuit alleges the nursing home and its chief officer diverted millions of dollars from the company’s retirement plan to a religious corporation and to themselves.
IFS Releases Toolkit to Help Advisers With Fiduciary Rule
'The DOL Advisor Toolkit' provides tools that will guarantee advisers act in compliance with the new fiduciary rule.
Plan Sponsors in Louisiana Flood Zone Get More Compliance Relief
The DOL has announced updated guidance for retirement plan contributions and loan repayments, as well as blackout periods.
PANC 2016: Fiduciary Rule Aftermath for RIAs
Even registered investment advisers, who have been acting as fiduciaries, will be impacted by the new rule.
PANC 2016: Fiduciary Rule Aftermath for Non-RIAs
There are many anticipated avenues of disruption associated with the DOL fiduciary rule, but clearly the most direct influence will be felt at the point of sale of...