The Client: ERISA plans/institutional management
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November 17, 2017Acosta: DOL Will Enforce Fiduciary Rule Despite DelayLabor secretary Alexander Acosta also tells House committee the DOL is working with the SEC on its fiduciary rule.No Comments
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Investment Policy Statements at the Center of the Fiduciary ProcessThis FA-IQ Education webcast is a presentation on investment policy statements at the center of the fiduciary process by Fi360’s Rich Lynch, John Faustino and Duane Thompson. This presentation is worth 1 credit hour from the CFP and CIMA upon the successful completion of a 10-question quiz.
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November 3, 2017One More Step and DOL Rule Delay is OfficialThe Office of Management & Budget still has to approve the delay.No Comments
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November 1, 2017FSI Wants Disclosure Regime for SEC’s Fiduciary RuleIndustry group wants two-tiered disclosure approach as alternative to DOL rule's best interest contract exemption.No Comments
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October 26, 2017SEC Chair’s Fiduciary Standard Views Echo SifmaJay Clayton says it’s important to preserve varied business models and investor choice when crafting fiduciary rules. So does Sifma.Last Comment: October 30, 2017
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October 25, 2017Clayton: SEC Won’t Supplant DOL’s Fiduciary RuleMeanwhile, a watchdog group sues the DOL for records pertaining to rule’s rollback.No Comments
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October 23, 2017Why Many Think a Uniform Fiduciary Rule Won’t WorkThe challenges of crafting it and the potential for a watered-down compromise are the stumbling blocks for many.No Comments
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October 19, 2017State Fiduciary Laws Seen Adding to Chaos, ConfusionMore states are expected to follow Nevada’s lead in fiduciary lawmaking.No Comments
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October 18, 2017Investor Defender Slams SEC Best Interest EnforcementConsumer Federation of America director argues against disclosure-only approach.No Comments
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October 16, 2017Lobbyists Sue First State-Run Retirement Savings PlanErisa Industry Committee says trend of state-run plans risks creating a patchwork of rules.No Comments
