Results for "fiduciary"

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Fixed-income investors: Do you know what you own?

April 26, 2017

It is extremely important to know what you are buying. Understanding the fixed-income market and what you own can go a long way. The fixed-income market in general is not well understood. At the same time, it is important for investors to understand...

Financial Planning Coalition opposes spending bill riders that would kill DOL fiduciary rule

April 25, 2017

The Financial Planning Coalition — a lobbying group comprising the Certified Financial Planner Board of Standards Inc., the Financial Planning Association and the National Association of Personal Financial Advisors — has called on members...

Some broker-dealers changing indexed-annuity compensation due to DOL fiduciary rule

April 24, 2017

Brokerage firms are evaluating how they and their advisers get paid for indexed annuity sales to clients, as the start date of a new Labor Department rule governing investment advice in retirement accounts inches closer. At present, many broker-dealers...

Experts say DOL fiduciary rule's fate, timing uncertain, changes likely

April 24, 2017

A panel of regulatory experts questioned Monday how the fight over the Labor Department's approaching fiduciary rule will play out, alluding to a political landscape in Washington that's in constant flux and a tight deadline for taking action...

Piwowar says it's time for SEC to 'reassert its role' on investment advice standards

April 21, 2017

Securities and Exchange Commission Acting Chairman Michael Piwowar said on Friday that the agency should take the lead in setting investment advice standards, a position that he said is more likely with President Donald J. Trump in office. An...

Even supporters of DOL fiduciary rule call for modifications

April 18, 2017

Even supporters of the Department of Labor's fiduciary rule are still looking to tweak the measure. For instance, the Investment Adviser Association wants the regulation modified so that advisers who are already fiduciaries can promote their...

New mutual funds under DOL fiduciary rule could save investors at least 0.50% in returns: Morningstar

April 18, 2017

New mutual-fund share classes being developed as a result of the Department of Labor's looming fiduciary rule will likely save investors at least 0.50% in returns when compared with the current selection, according to a new analysis published...

With DOL fiduciary rule looming, Merrill sees surge of AUM

April 18, 2017

Merrill Lynch, Bank of America's wealth management business, saw a surge in advisory assets in the first quarter of 2017, months after the company said it was eliminating charging commissions in new retirement accounts as a response to the Department...

SIFMA wants a 'time out,' seeking longer delay of DOL fiduciary rule

April 17, 2017

The biggest brokerage industry trade association is calling for a longer delay of the Labor Department's fiduciary rule, while a consumer group concludes that that the Trump administration has already decided to revise or repeal the rule. In...

Advisers who are already fiduciaries should shout it from the rooftops

April 16, 2017

The concept of fiduciary duty might not yet be fully grasped by consumers, but it is starting to make inroads into mainstream discourse. Clients don't always know what it means to be a fiduciary, but they know they should ask if their adviser...

What independent financial advisers need from broker-dealers when it comes to the DOL fiduciary rule

April 14, 2017

Predicting what may happen to the Department of Labor's fiduciary rule has become the industry's favorite parlor game. Every week we see industry pundits, third-party recruiters and other consultants publicly opining about the rule. And with...

DOL faces tough road in revising or repealing fiduciary rule

April 13, 2017

As the Department of Labor begins to review its fiduciary duty regulation, it faces a daunting road ahead to modify or repeal the measure. If the agency makes changes — as the Feb. 3 directive from President Donald J. Trump seems to foreshadow...

JP Morgan Chase puts off plan to move some clients to self-directed platform

April 12, 2017

JPMorgan Chase & Co. is delaying a plan to move some wealth-management clients to a self-directed platform as the bank awaits word on whether the Trump administration will rewrite or scrap higher standards for brokers. The lender had told some...

More 401(k) advisers face litigation risk in June under DOL fiduciary rule

April 11, 2017

A greater number of advisers and firms servicing 401(k) plans and their participants could be at risk of litigation in a few months' time, when implementation of some provisions of the Labor Department's fiduciary rule are set to kick in. This...

5 regulatory issues every financial adviser should be watching

April 9, 2017

Although the epic battle over the Department of Labor's fiduciary rule will continue for at least several more months, if not years, and dominate the regulatory agenda for investment advice, other critical issues are bubbling to the surface....

3(38) vs. 3(21) investment fiduciary services: the pros and cons for 401(k) advisers

April 7, 2017

As lawsuits targeting 401(k) plan sponsors have proliferated and buzz around the Department of Labor's fiduciary rule continues building, demand for investment fiduciary services has grown among employers, and advisers have evolved to meet the...

New Orleans appeals court denies emergency injunction to stop DOL fiduciary rule

April 5, 2017

Financial industry opponents of the Department of Labor's fiduciary rule lost again in federal court on Wednesday. The Fifth Circuit Court of Appeals in New Orleans denied a request for a preliminary injunction against the regulation that was...

RIAs say DOL rule delay doesn't matter because industry is moving toward fiduciary anyway

April 5, 2017

Independent financial advisers are generally shrugging off the Department of Labor's 60-day delay of its fiduciary duty regulation, suggesting that the proverbial horse is already out of the barn. "The delay is just delaying the inevitable,"...

Opponents troubled by mere 60-day delay of DOL fiduciary rule

April 5, 2017

Financial industry opponents of the Department of Labor's fiduciary rule can't seem to get what they want when it comes to stopping the measure. On Tuesday, the agency released a final rule that delays implementation of the fiduciary regulation...

DOL fiduciary delay final rule expected to be released Wednesday

April 4, 2017

It looks as if the implementation delay for the Department of Labor's fiduciary rule will be approved just under the wire. In a letter filed with the Fifth Circuit Court of Appeals on Monday for a lawsuit against the rule, the Department of...

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