A new toolkit is designed to help advisers comply with the DOL’s fiduciary rule through a number of tasks such as switching from fee- to commissioned-based investments.
The DOL’s conflict of interest reform is expected by providers to have the biggest impact on financial services since ERISA was enacted in 1974, according to research from...
A new software solution from RiXtrema addresses DOL fiduciary rule compliance for advisers finding themselves on a new regulatory playing field when it comes to rollover recommendations.
Another participant in a Wells Fargo retirement plan is accusing the bank of breaching its fiduciary duty in the management of company stock offered as a retirement plan...
The bank’s recent troubles over illegal sales practices have led retirement plan participants to file an ERISA stock drop suit, claiming plan fiduciaries continued to offer Wells stock...
A federal judge ruled the lead plaintiff does not have standing to bring his claim because he never purchased or sold ADRs of Sanofi during the alleged period...
A concise example of summary judgement published by the 2nd U.S. Circuit Court underscores retirement plan fiduciaries’ absolute duty to diversify and carefully administer participant assets.
ERISA Section 502(a)(3) may extend to remedy inequitable conduct pertaining to a supposed waiver of plan rights and to a breach of the general good faith standard of...
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.