Results for "fiduciary"

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Reversal on IRA-commission stance unlikely for Merrill if DOL fiduciary rule repealed

November 21, 2016

It's highly unlikely Merrill Lynch would reverse its position on scrapping IRA commissions if the Labor Department's fiduciary rule were to be repealed under Donald Trump's administration, according to industry-watchers. Marketing plays a large...

DOL fiduciary rule: The 5 biggest things to watch for if BICE's class-action provision is killed

August 29, 2017

The Trump administration last week delivered a clear signal it aims to kill one of the most hotly contested parts of its fiduciary rule — the provision about class-action lawsuits. Beginning Jan. 1 — or July 2019 if the DOL delays that implementation...

Amid DOL fiduciary rule doom and gloom, some take opportunistic tack

November 4, 2016

Amid the outpouring of dour forecasts, grim analysis and outright confusion about the impact of the Labor Department's fiduciary rule among stakeholders in the financial services industry, some product providers see a silver lining. Executives...

DOL fiduciary rule won't help some 403(b) retirement plans

October 21, 2016

Through its fiduciary rule, the Department of Labor is attempting to rein in conflicted investment advice and reduce costs for retirement savers. However, there's a corner of the retirement market plagued by the sort of high fees and sales practices...

Some firms opting to sell fixed annuities under best-interest contract exemption to keep trips, bonuses intact

October 17, 2016

Some financial institutions are opting to sell certain types of fixed annuities under a stricter compliance regime of the Labor Department's fiduciary rule than is necessary, in order to continue to offer incentives such as bonuses and trips....

American Funds sees the no-load light

October 10, 2016

American Funds has seen the light and is now offering no-load access on the Fidelity and Schwab platforms. The latest evidence of how the DOL fiduciary rule is reshaping the asset management industry. Pioneer Investment's John Carey says you...

Merrill's move to end commission IRAs a 'tectonic shift' for brokerage industry

October 7, 2016

Merrill Lynch's decision to shutter its commission IRA business in response to the Labor Department's fiduciary rule could signal a sea change in the brokerage industry, and could push Merrill brokers reliant on commissions to find another home,...

Outsourced 401(k) fiduciary services emerge after DOL rule

October 3, 2016

With the Labor Department's fiduciary rule upping the ante for many 401(k) advisers and their broker-dealers, providers from around the retirement market are looking at ways to defray fiduciary responsibility, and in some cases, possibly replace...

More than 1/4 of financial advisers plan to exit industry or merge firms: survey

September 29, 2016

A quarter of financial advisers are planning a dramatic change in the way they operate their business within the next three years, a new survey found. About 27% of advisers said they intend to sell their business, merge with another firm, retire...

DOL fiduciary rule: Indexed, variable annuities big winners of a proposed delay

August 10, 2017

Indexed and variable annuities are the biggest winners of the Department of Labor's recently telegraphed fiduciary rule delay. Sales of the products, especially indexed annuities, would arguably have been the most adversely impacted under the...

Institute for Fiduciary Standard begins program to hold advisers publicly accountable

September 19, 2016

The Institute for the Fiduciary Standard has started a program for financial advisers that's designed to demonstrate they're adhering to best practices when engaging with investors. Advisers who participate will publicly communicate their commitment...

DOL fiduciary rule's unintended consequence: higher fees for investors

September 16, 2016

As broker-dealers adjust to the new Department of Labor fiduciary rule by instituting uniform commissions on a wide swath of investments, investors could be faced with higher prices on some investment products. LPL Financial, the nation's largest...

How advisers can manage IRA rollover risk under the DOL fiduciary rule

January 19, 2018

Advisers need to examine their practices for IRA rollovers in the new fiduciary environment created by the Department of Labor's conflict-of-interest rule. As background, there are three ways an adviser can help a participant with a rollover....

DOL fiduciary rule can also be applied to insurance

June 12, 2016

What's the best type of life insurance? That question has been been debated for decades. In the 1980s, universal life products were considered the best. In the 1990s, it was variable universal life products, and in the 2000s, it was guaranteed...

How did the DOL fiduciary rule change the world for 401(k) advisers?

July 6, 2017

With all the talk and activity around the Labor Department's fiduciary rule, you might have imagined a dramatically different world for advisers when they came to work June 9, the rule's official implementation date. But, for the vast majority...

TD's Skip Schweiss to RIAs: Don't shrug off DOL fiduciary rule

June 8, 2016

Registered investment advisers shrugging off the Labor Department's fiduciary rule are making a mistake. That's the message that Skip Schweiss, a managing director of adviser advocacy at TD Ameritrade Institutional, is trying to get across to...

NAFA files second lawsuit against DOL fiduciary rule

June 3, 2016

A leading insurance trade group has filed a second lawsuit aimed at striking down a Labor Department rule to raise investment advice standards in retirement accounts. The move Thursday by the National Association of Fixed Annuities comes one...

Two sides of the DOL fiduciary rule's 'Best Interest Contract Exemption' advisers must understand

May 27, 2016

The Best Interest Contract Exemption is one of the main pillars of the Labor Department's fiduciary rule. Without it, many brokers and advisers wouldn't be able to continue doing business in retirement accounts under current business practices...

Choosing default investment alternatives for 401(k)s requires close due diligence

May 25, 2016

Target date funds are the runaway top choice to serve as the default option for 401(k) plans. According to the Plan Sponsor Council of America, over 80% of all 401(k) plans elect to use a Qualified Default Investment Alternative (QDIA) and over...

DOL fiduciary rule trips up robo efforts at BlackRock, Schwab

May 16, 2016

The DOL fiduciary rule is throwing a wrench into the robo-advice efforts at BlackRock and Schwab. Some robo advisers may need to substantially change their business practices and how they operate. Jim Cramer, the TV personality known for rolling...

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