Tag: Fiduciary adviser

The latest addition to the LPL Affinity Program is aimed at helping advisers comply with requirements of the new DOL fiduciary rule. 

They are also looking for fiduciary advisers and leading-edge technology.

Advisers are working with more plans today than they ever have—completing more services for more diverse types of clients than was the case prior to the full implementation...

A complaint filed in a Pennsylvania district court by the DOL’s Employee Benefits Security Administration alleges a list of ERISA infractions related to fees, documents, disclosures and processes...

A strategic partnership between Efficient Advisors and Gladstone Analytics will help financial planning businesses asses their client base and plan for their own future.  

For the first time in seven annual editions of its Plan Sponsor Attitudes Survey, fiduciary responsibility is cited as the top reason 401(k) retirement plan sponsors start using...

Advisers can help small employers minimize investment fiduciary risk through LPL's 3(38) Small Market Solution service.

In a complex but informative ruling, a federal judge describes why many aspects of an ERISA complaint leveled against Allianz Asset Management should be allowed to proceed to...

Most advisers feel they are making good progress on addressing the Department of Labor fiduciary rule, according to a Nationwide Retirement Institute survey.

The agency defends its authority to issue a new rule and to extend provisions of the rule to IRAs.

Nobody really likes to think about the negative aspects of aging, but advisers have a legal obligation to pursue the long-term financial good of their clients.

The partnership is aimed at developing a program that “sets a new standard in fiduciary education and best practices.”

The firm will hold both local events and webcasts featuring its own and outside experts.

In the wake of the DOL rulemaking, a financial advisory firm acts at its peril if it overlooks the prudent investor rule, a new research paper says.

Working at the “only Millennial Top 10 bank” has its perks, says Yvette Butler, President of Capital One Investing—perhaps most notably the freedom to do things a little...

The final fiduciary rule is out, so what do you need to know? And, just as important, what can you do right now to prepare?

Nearly three-quarters think the market volatility will settle down by year’s end.

Protecting assets and saving for retirement are also key goals.

Two national insurance advocacy groups have “reluctantly” joined the growing list of plaintiffs asking the federal courts to declare the DOL’s new fiduciary rule arbitrary and capricious.