Nuts & Bolts: Fiduciary Basics
What new advisers need to know about being a fiduciary, which can be plan trustees, plan administrators or members of...
Tag: Fiduciary adviser
Cover Story
At the Core
The adviser’s essential role is to help clients meet their fiduciary obligations.
Compliance Analysis
The SEC on Cybersecurity
Review your policies and procedures—it’s a fiduciary duty
10th Circuit’s ‘Meaningful Benchmark’ Ruling Will Not Stymie Lawsuits, Experts Says
Five circuit courts have now heightened the standard for 401(k) participant lawsuits, but ERISA attorneys do not expect lawsuits challenging...
ASA: DOL Drops Appeal to 401(k) Rollover Advice Ruling
According to the trade association, the regulator will not appeal a ruling that keeps 401(k) rollover advice outside of fiduciary...
DCIIA Publishes Guide to Fiduciary Models
The report educates plan sponsors on distinctions between 3(16), 3(21) and 3(38) fiduciaries.
Compliance Analysis
How to Avoid Fee Conflicts
Wealth managers can look to ERISA and the tax code for guidance.
Cover Story
A Step in a New Direction
Today’s business model may add wealth management and other services—how plan advisers make it work.
Investment Product and Service Launches
Cambridge Financial launches private client solutions offering; Orion offering free learning for fiduciary advisers; and more.
Beyond 401(k) / Cover Story
The Possibilities Ahead
As the plan adviser role evolves, what may the future hold?
15th Anniversary of RPAY: Joe Connell
Though he now works under a different firm than when he won recognition as a PLANSPONSOR Retirement Plan Adviser of...
Sign-up Here for the 2021 Top 100 Retirement Plan Adviser Process
Individuals and teams interested in being considered for PLANADVISER’s 2021 Top 100 Retirement Plan Adviser designation should complete our short registration form by Wednesday, September 9. This first...
More Advisers Look for Co-Fiduciary Support from their B/Ds
A look at the results of the PLANADVISER Practice Benchmarking Survey between 2011 and 2019, showing some areas of significant evolution in the way advisers build and run...
Broadridge Acquisition of Fi360 Underlines RIA Fiduciary Evolution
Leading up to its own acquisition by the larger Broadridge organization, Fi360 had been actively acquiring other fiduciary solutions firms, aiming to build a comprehensive suite of RIA...
Reg BI Could Make It Easier for B/Ds to Compete With Retirement Plan Advisers
Experts say the new SEC rules could allow brokers to encroach into the traditional territory of advisers without having to meet the same fiduciary standard of care.
Half of Americans Believe All Advisers Must Act in Their Best Interest
Many do not know if their adviser is technically a broker/dealer or an adviser, Personal Capital learned in a survey.
Investor Advocacy Groups Question SEC Customer Relationship Summary Form
Noting that they believe a more viable customer relationship summary (CRS) form can still be developed by the SEC as part of its Regulation Best Interest proposal, a...
Wagner Building Database for New Adviser Search Service
Advisers interested in participating are called on to submit info electronically.
With Litigation Rush, Fiduciary Insurance Adequacy Is Critical
As a result, insurers are scrutinizing potential customers more carefully, asking for extensive documentation and proof of compliance with stated policies.
States Start Knitting a Patchwork of Best Interest Fiduciary Regulations
With the judicial defeat of the Obama-era DOL fiduciary rule hanging in the air, individual states are moving to establish their own best interest regulations for the sale...