Tag: Fiduciary adviser

Thrivent alleges the DOL has exceeded its authority by requiring that the BIC Exemption include a contractual agreement that customers could pursue a breach of contract action and...

Fees are often thought of as the prevailing factor in most retirement investment decisions, but new research suggests the destination of an IRA rollover is determined by more...

The new program from PCS enhances advisers' ability to establish and demonstrate compliance with the DOL's fiduciary rule reform. 

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.

Fidelity finds the number of financial advisers who see opportunity in DOL conflict of interest reform has more than doubled in recent months; other advisers are planning to...

ERISA specialist Erin Sweeney recently attended a key hearing in one of the five ongoing pieces of litigation filed against the DOL fiduciary rule reforms; she offers an...

'The DOL Advisor Toolkit' provides tools that will guarantee advisers act in compliance with the new fiduciary rule.

Retirement plan sponsors and advisers working with MassMutual now have greater flexibility and expanded tools and technology to help manage their fiduciary obligations and risks. 

Even registered investment advisers, who have been acting as fiduciaries, will be impacted by the new rule.

What advisers need to know and do now.

There are many anticipated avenues of disruption associated with the DOL fiduciary rule, but clearly the most direct influence will be felt at the point of sale of...

Just two out of an increasingly large pile of amicus briefs filed in relation to litigation seeking to halt the new DOL fiduciary rule will be considered—both of...

The Financial Planning Coalition filed a “friend of the court” brief supporting the Department of Labor in its ongoing court battles over the new fiduciary rule. 

The investment advisery firm Edward Jones says it will look to grandfather IRA relationships acquired before April 2017, while also instituting some fundamental changes to process and product...