Tag: Department of Labor (DOL)

Under the evolving fiduciary landscape, how can an adviser protect the business while offering effective advice to clients?

Retirement plan advisers are in a unique position to help working Americans build wealth and a sense of security and dignity when it comes to thinking about long-term...

The legislation seeks to move fiduciary rulemaking power away from the DOL.

Two new solutions aim to help employees pay off their college debt and plan for health care expenses in retirement.

Morningstar’s “Global Fund Investor Experience” report shows that, with strong regulations, come stable markets. 

Advisers can help plan participants understand their hierarchy of needs, framing guidance to fit the context of whatever additional relief Congress may provide.

Certain policy changes and the right support for plan sponsors could make it easier for plans and participants to embrace lifetime income solutions.

ERISA attorneys and practice leaders give their take on the intense political grappling that has become the norm in Washington under a Republican majority.

Broker/dealers (B/Ds) can address new regulatory pressures, and new competition, by enhancing their value proposition and embracing technology, a report by Cerulli suggests.

The checklist covers various fiduciary responsibilities including those not associated with supposed delays or changes to the fiduciary rule, RiXtrema says.

The new business-development capability allows advisers to illustrate how certain changes could benefit a prospective client’s portfolio.

A participant accuses the firm of failing to prudently monitor and assess investment options for the plan.

The firm will provide 3(21) and 3(28) services through a tech-focused solution.

A review of fiduciary governance and the liability insurance policy can help 403(b) plan sponsors steer clear of the litigation whirlwind hampering the industry today.

The new relief is in addition to the Form 5500 Annual Return/Report filing relief already provided.

Loan and hardship rules, in addition to reporting requirements, have been relaxed.

Aimed at asset managers and advisers, the first in the “In the Know” brief series covers Dodd-Frank, the Financial Choice Act and more.