DOL won’t crack down on financial advisers who engage in prohibited transactions
The temporary ban will remain in place until the SEC posts its final fiduciary rules.
Fiduciary standard
Last-minute bid to save fiduciary rule fails
With the rescue attempt's failure, all eyes now turn to the SEC which is considering its own proposal for raising financial advisor standards of conduct.
Confused by the SEC’s proposed advice rule? Your questions answered
The regulator's proposal is set to remake compliance standards for brokers and advisors.
Benefits Think How plan sponsors can be better fiduciaries (with or without the rule)
With a recent uptick in 401(k) related lawsuits, employers should take concrete steps to help participants while giving their company the fullest extent of protection possible against potential litigation.
Keith Clark
DWC ERISA Consultants
Confused by the SEC’s proposed advice rule? Your questions answered
The regulator's proposal is set to remake compliance standards for brokers and advisors.
Benefits Think How plan sponsors can be better fiduciaries (with or without the rule)
With a recent uptick in 401(k) related lawsuits, employers should take concrete steps to help participants while giving their company the fullest extent of protection possible against potential litigation.
Keith Clark
DWC ERISA Consultants
Benefits Think SEC proposes ‘Best Interest’ guidance under Dodd-Frank
Whether the broker acts as a fiduciary making a recommendation will depend upon the circumstances of the particular recommendation and their client.
Marcia Wagner
The Wagner Law Group
SEC proposal sparks battle on advisor titles, upends fiduciary debate
New rules would set standards of conduct for brokers, require new disclosures and offer interpretive guidance for fiduciary advisors.
Benefits Think Why the SEC proposal is a victory for clients
New rules recognize the fact that commission-based transaction services can be the most cost effective way for Main Street investors to receive financial advice.
John Taft
Baird
Benefits Think RIP fiduciary rule? Not so fast
Despite the recent Fifth Court ruling, it’s too soon to say the regulation is dead. There may be a rehearing, and most importantly, best practice standards will live on.
Carol Buckmann
Cohen & Buckmann PC
Benefits Think RIP fiduciary rule? Not so fast
Despite the recent Fifth Court ruling, it’s too soon to say the regulation is dead. There may be a rehearing, and most importantly, best practice standards will live on.
Carol Buckmann
Cohen & Buckmann PC
Fiduciary rule, RIP? Fate looks dim after court overturns regulation
Focus turns to the SEC as it considers creating its own higher standard of client care.
Benefits Think Why employers may need fiduciary liability insurance
Plan sponsors should keep in mind that while the coverage isn’t legally required, it’s needed protection if breach accusations occur.
Carol Buckmann
Cohen & Buckmann PC
Fiduciary rule spotlight has plan sponsors shopping for advisers
Employers are looking for a partner who is knowledgeable about regulatory changes, will focus on improving 401(k) performance and will help minimize costs.
Fiduciary rule spotlight has plan sponsors shopping for advisers
Retirement advisers can protect their book of business by redefining their service model and partnering with specialists.
401(k) rollover actions not off the hook in fiduciary rule delay’
Financial advisors can still be held liable for violating impartial conduct standards even though the fiduciary rule has been delayed until 2019.
Fiduciary delay to prolong already lengthy debate
The regulation's enforcement provisions will not take effect until July 1, 2019, the Labor Department said.
Employees are saving more for retirement. Are they saving too much?
Saving too much for retirement could force clients to take loans or make withdrawals that would carry taxes and penalties.
Americans are saving more for retirement. Are they saving too much?
Saving too much for retirement could force clients to take loans or make withdrawals that would carry taxes and penalties.
Benefits Think 3 issues to consider when advising on rollovers
Moving funds into an advised account constitutes fiduciary investment advice and must be monitored carefully.
Robert Sichel
K&L Gates LLP