Tag: Fiduciary adviser

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...

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...

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.

It covers service providers, administration, investments and plan governance.

The Republican-controlled House Financial Services Committee approved H.R. 1090, the “Retail Investor Protection Act,” for potential consideration by the floor.

Plan advisers should consider which fiduciary role they want to take.

Two senior retirement industry executives—one from an advisory firm and one from a recordkeeper—discuss how the two types of service providers can work together for better plan sponsor...

Nearly all American investors agree financial advisers should be required to proactively disclose conflicts of interest, actual or potential, to would-be clients. 

An adviser’s broad perspective and timely nudges can help the plan sponsor steer clearly through major changes.

It’s not for everyone, but one advisory firm founder says most retirement specialist colleagues are well suited for the move to independence. 

Hearings before two House Financial Services subcommittees add more commentary to the debate about the DOL's proposed fiduciary rule.

Retirement plan advisers should help clients understand their rights and ability to access past records after a change in recordkeeper or TPA.

The agency hasn’t exactly dominated trade publication headlines in recent months, but it remains active on enforcement and rulemaking efforts that will impact retirement advisers.

A study commissioned by the Financial Services Institute says the amount is nearly 20 times the DOL’s estimate.

Fiduciaries should do everything possible to overcome perceived impediments to diversifying retirement plan assets, a judge found.

With hearings ongoing in Washington, Labor Secretary Perez underscores commitment to fiduciary rule change in letter to federal lawmakers.

Small-plan clients can now receive fiduciary investment advice at a “frugal” price, says Frugal Financial Retirement Plan Services.

The Department of Labor has released its agenda for next week’s public hearings to discuss the department’s proposed fiduciary rule changes.

Advisers can add value for their plan sponsor clients by strategizing the participant account drawdown process.