The Client: ERISA plans/institutional management

• April 5, 2019

  Why Big Firms Have Paid Billions in ERISA Class Actions

  Nonprofit finds 201 settlements or verdicts involving the largest 1,700 public and private companies.

  No Comments
• January 24, 2019

  Maryland, Nevada Push for State-Level Fiduciary Rules

  The Maryland legislature is expected to put forward a bill while Nevada introduced a fiduciary rule to implement legislation passed in 2017.

  No Comments
• December 27, 2018

  Oregon Ready to Help Other States Set Up Auto-IRA Programs

  The state’s OregonSaves program has signed up 48,000 employees since launching in July 2017.

  No Comments
• December 17, 2018

  Edward Jones 401(k) Lawsuit Settlement Leaves Little More than $10 Payouts for Some Participants

  Yet the attorneys might receive more than $1 million.

  Last Comment: December 17, 2018
  1 Comment
• December 4, 2018

  Warning to FAs: IRA Rollovers Are in Regulators' Crosshairs

  Some advisors go as far as treating rollovers as if the Department of Labor’s fiduciary rule were still in effect.

  No Comments
• November 12, 2018

  DOL Proposes Auto-Portability for 401(k) Plans

  The proposal is aimed at preventing of “leakage” from the plans when employees change jobs.

  No Comments
• November 8, 2018

  Despite Its Death, Here's How the DOL Rule is Still Causing FAs to Change Their Ways

  Majority of advisors say they’re likely to make changes as a direct result of the rule.

  No Comments
• November 6, 2018

  UBS Zeroes in on FAs Serving Small 401(k) Plans

  The move is expected to drum up more business for UBS’s reps.

  No Comments
• October 22, 2018

  Forget the DOL Rule or the SEC's Reg BI... Financial Literacy is Key to Protection, RBC Advisor Says

  FT 401 advisor says the first line of defense of retirement plan participants are their plan sponsors.

  No Comments
• October 19, 2018

  DOL Rule Saga Isn't Over... Agency Plans Roll Out of a Final Fiduciary Rule Next September

  The agency plans to revise the final regulation in light of the Fifth Circuit’s decision to vacate the rule this spring.

  Last Comment: October 19, 2018
  1 Comment