Financial Elder Abuse on Advisers’ Radar
Protecting aging clients is advisers’ foremost ethical concern.
Tag: Fiduciary adviser
Examining the Fiduciary Rule Proposal’s Education Carve-Out
Among the many provisions and definitions in the forthcoming DOL fiduciary rule will likely be an “education carve-out,” considered to be one of the most high-stakes elements of...
DOL Fiduciary Rule Will Force Product Innovation
Cerulli anticipates a continuing move to robo-advisers and changes in insurance company product fees.
White Paper Gives Firms a Checklist Ahead of DOL Rule Change
A white paper outlines the rule changes, what it could mean for practice management and ways to avoid the excessive time and cost to comply.
NextCapital Expands Advice Channels
In partnership with Pershing LLC, “we are now allowing partners to deliver advice not only across DC plans but to retail investors,” says Rob Foregger, co-founder of NextCapital.
'Largely Unpredictable' Which Clients Could be Sued by Participants
One attorney specializing in ERISA litigation suggests the pace of lawsuits has increased fairly substantially in the last year, with signs of even more momentum in 2016.
Waiting on an In-Plan Income Safe Harbor
Defined contribution retirement plan sponsors remain cautious and curious about structured withdrawal products.
Cerulli Questions Common ‘Fiduciary Rollover’ Narrative
Cerulli Associates does not anticipate a slowdown in adviser-mediated rollover activity in the foreseeable future—whether or not a strengthened fiduciary rule is approved by the DOL.
Was 2015 the Year of the Fiduciary?
Did you ever think so much controversy and confusion could be tied into one little word?
Participants Under 35 Relying Less on Advisers
A third of participants age 35 to 49 say they are planning to depend less on financial advisers in the years ahead.
Changes ‘Could Happen Soon’ to Fiduciary Rule
Lawmakers and industry reps are concerned with where the proposal is heading, what’s in it and how fast it’s moving.
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2015 PLANADVISER National Conference
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Advisers Play Key Role Institutionalizing DC Plans
Teaching defined contribution plan sponsors to manage money more like their pension plan counterparts—and other large institutions known for efficient investing—leads to better outcomes, experts say.
Coalition Tells Congress to Stop Trying to Thwart DOL Rule
Staunchly supporting the DOL’s fiduciary proposal, the Financial Planning Coalition calls out recent legislative stall tactics.
Financial Engines to Acquire Brick-and-Mortar Advisory
Not convinced that robo-advisers are shaking up the defined contribution retirement plan advisory space? This week’s news that digital-advice darling Financial Engines will acquire a firmly established traditional...
Sen Warren Finds Annuity ‘Perks and Kickbacks’ Rampant
Senator Elizabeth Warren has already made a name for herself as a harsh opponent of Wall Street, but a report issued today on collusion between the annuity and...
Wealth Advisory Clients Want Wider Focus
Spectrem study examines the role and scope of the relationship between wealthy investors and their financial advisers, finding most well-off clients want deeply considerate and personal service.