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The regulator's proposal is set to remake compliance standards for brokers and advisors.
May 2 -
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.
May 1DWC ERISA Consultants -
Whether the broker acts as a fiduciary making a recommendation will depend upon the circumstances of the particular recommendation and their client.
April 26The Wagner Law Group -
New rules would set standards of conduct for brokers, require new disclosures and offer interpretive guidance for fiduciary advisors.
April 24 -
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.
April 23Baird -
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.
March 26Cohen & Buckmann PC -
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.
March 23Cohen & Buckmann PC -
Focus turns to the SEC as it considers creating its own higher standard of client care.
March 15 -
Plan sponsors should keep in mind that while the coverage isn’t legally required, it’s needed protection if breach accusations occur.
March 1Cohen & Buckmann PC -
Employers are looking for a partner who is knowledgeable about regulatory changes, will focus on improving 401(k) performance and will help minimize costs.
January 1