The Client: ERISA plans/institutional management
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March 21, 2018As DOL Rule is Struck Down, Fears Resurface Over Investor ProtectionIndustry groups could be emboldened to push for a watered-down rule that's mainly about marketing.
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March 21, 2018Fiduciary Rule’s Court Setback Isn’t End of StoryBut the likelihood of a resurrection of the DOL fiduciary rule is slim.No Comments
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December 26, 2017Biggest Story of the Year: Trump to Halt Fiduciary Rule (Feb. 3)In a year focused on impending regulation and the performance of a new president, it's hardly surprising that a story on Donald Trump's intentions for the fiduciary rule was the top read for 2017 ...Last Comment: December 26, 2017
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November 28, 2017DOL Fiduciary Rule Delay is Now OfficialDelay pushes back applicability of the rule’s best interest contract exemption.No Comments
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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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