The Client: ERISA plans/institutional management
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September 28, 2017Average Assets at FT Top 401(k) Advisors SkyrocketIn 2017 the average top 401 retirement plan advisor manages $650m more in DC plan assets than last year.No Comments
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September 28, 2017GOP Lawmaker Introduces Bill to Repeal DOL’s RuleBill would place fiduciary rule under SEC’s jurisdiction.No Comments
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September 27, 2017SEC Sharpens Cybersecurity, Boosts RIA ExamsChairman Jay Clayton also tells House Committee SEC will coordinate with DOL on fiduciary rule.TNo Comments
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September 20, 2017DOL Argues It Didn’t Overstep Congressional MandateWhile defending a legal challenge, the agency insisted it had authority to promulgate its fiduciary rule.Last Comment: January 30, 2018
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September 13, 2017Here’s What to Do in the DOL Rule Transition PeriodLaw firm produces checklist advisors can use to protect themselves and demonstrate compliance.No Comments
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September 12, 2017SEC Is ‘Where Fiduciary Ideas Go to Die’Don’t hold your breath for the Feds to create a unified client-first standard, experts warn.No Comments
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September 5, 2017How Do You Feel About Yet Another DOL Rule Delay?
Well, it's official. The White House has approved the Department of Labor's request to delay full implementation of its fiduciary rule a further 18 months to July 2019. What are your thoughts on another delay?
Last Comment: September 5, 2017
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September 5, 2017DOL Axes Arbitration Ban from Fiduciary RuleAgency says IRS will also stay away from enforcing the ban.No Comments
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August 30, 2017White House OKs DOL Fiduciary Rule DelayExperts say the final rule will likely be greatly revised during the re-evaluation.Last Comment: August 30, 2017
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August 24, 2017DOL Foe Demands Injunction Against Arbitration BanFirm wants more than the DOL’s recent non-enforcement stance on the arb ban. DOL hints it may comply.No Comments
