ERISA vista
Rollovers and Fiduciaries
Recent DOL guidance expands the definition of fiduciary advice.
Tag: fiduciary rule
Biden Expected to Advance a More Stringent Fiduciary Rule, Advocate for Retirement Income and ESG Investing
Industry experts reflect on what President Joe Biden has done in his first months in office with respect to retirement...
15th Anniversary of RPAY: Christopher Kulick
In the three years since winning the award, Kulick says his practice has deepened its client relationships while increasing capacity...
Publisher’s Note
What a Year!
With so many bigger issues facing the country, much has happened that almost seems unnoticed.
ERISA vista
The DOL’s Latest Proposed PTE
How advisers who only do rollovers would avoid prohibited transactions.
OMB Has Received a Final Fiduciary Rule From DOL
The sense of déjà vu associated with the filing of a finalized fiduciary rule by the Department of Labor is palpable, but one ERISA expert says this version...
ERISA vista
A Return to Rollover Advice
The DOL revisits the potential for adviser/client ongoing relationships.
PANC 2020: Conflict Ahead
Reg BI, a new fiduciary rule proposal from the DOL and state-enacted fiduciary rules—what advisers should keep in mind.
Compliance News
Legislative and Judicial Actions
IRS updates its operational compliance list, DOL releases new proposed fiduciary rule, and more.
DOL Announces Hearing to Discuss PTE Proposal for Fiduciary Rule
The DOL is proposing a new prohibited transaction class exemption for investment advice fiduciaries.
Assessing the State of Trump’s EBSA
The Employee Benefits Security Administration is among the regulators with the most direct influence over the retirement planning industry. It...
Sen. Warren Warns DOL About Adviser Conflicts of Interest
The Democratic presidential candidate tells Department of Labor Secretary Scalia she fears the DOL is considering standards of conduct that would permit advisers providing advice on retirement savings...
Cover Story
Advisers’ Future Trajectory
Firms confront a convergence of retirement plan and wealth consulting
SIFMA Asks Nevada to Hold Off on Fiduciary Rule
The group thinks the state should wait on the SEC’s Best Interest Standard and that its proposed statewide fiduciary rule would drive investors away from brokerage accounts.
Advisers Delay Acting on SEC’s Best Interest Proposals
Forty percent are waiting for further clarification, Fidelity learned in a survey.
DOL, SEC Both Have Fiduciary Conduct Standards Slated for Next Year
The DOL said it is considering regulatory options in light of a 5th Circuit opinion vacating its previous fiduciary rule, and has on its timeline that a final...
PANC 2018: The Future of Retirement Advising
A look at consolidation, the role of recordkeepers and the importance of financial wellness programs.
Registered Advisers Often Confused by Custody Reporting
Form ADV includes a number of questions about the custody of client assets; these questions continue to be a source of widespread confusion and inconsistent interpretations in the...
