Compliance January 23rd, 2024 DOL Aims to Streamline PTE Application Process With New Rule The changes are intended to reduce the amount of time needed to finalize prohibited transaction exemptions for plan fiduciaries.
Compliance November 8th, 2023 Trade Groups Call for Longer Comment Period for Fiduciary Rule Proposals The proposals would apply fiduciary status to one-time investment recommendations such as rollovers and annuity sales.
Compliance September 11th, 2023 DOL Sends New Adviser Fiduciary Rule to OMB for Review The rule is expected to broaden when investment advice is considered fiduciary advice under ERISA.
Compliance Consult Compliance for Wealth Managers PTE 2020-02 cannot resolve all conflicts of interest.
Products June 10th, 2021 Fiduciary Decisions Factors PTE Into IRA Rollover Compliance Software The firm is experiencing a surge in B/Ds and RIAs requesting assistance with the new rule as the enforcement date approaches.
ERISA vista The DOL’s Latest Proposed PTE How advisers who only do rollovers would avoid prohibited transactions.
ERISA vista A Return to Rollover Advice The DOL revisits the potential for adviser/client ongoing relationships.