Displaying 10206 results
Did Fidelity cheat its own client out of millions of dollars?
Wine mogul Peter Deutsch is seeking as much as $500 million in damages from Fidelity for a bad investment in one Chinese stock.
Regulatory changes abroad hint at the DOL fiduciary rule’s potential impact
U.K., Australia both passed fiduciary rules, though their versions weren't limited to retirement advice. How have they fared, and what can U.S. advisers learn from them? (More: Coverage of the DOL fiduciary rule from every angle)
Four ways financial advisers should help retirement plan sponsor clients avoid a DOL audit
The retirement plan sponsor role comes with a very clear set of regulatory obligations to the Department of Labor — whether your clients are aware of them or not.
House overwhelmingly approves bill to expand distribution of ETF research
Measure would square the safe harbor already provided to mutual funds.
Fed to keep options open for June rate hike: decision-day guide
Officials to debate whether to reinstate risk assessment
Following on Senate’s heels, House members introduce resolution to stop DOL fiduciary rule
While the Labor Department's modifications in the final rule have muted industry opponents for the moment, Congress continues the old fight.
Three GOP senators co-sponsor resolution to kill DOL fiduciary rule
Three GOP senators co-sponsor a resolution to kill the regulation, though it's seen as symbolic, as President Obama would surely veto the measure if it passed.
What does ‘best interest’ mean anyway? Texas Tech seeks more clarity on DOL fiduciary rule for advisers
A professor formed an initiative to define the term and help advisers understand the DOL's fiduciary rule.
Steven Cohen gets back to managing money
Breakfast with Benjamin The dust around SAC Capital has settled enough so that Steven Cohen has a new entry point into the asset management business.
Wirehouses seen winning in DOL’s final fiduciary rule
Brokers may continue selling higher-cost proprietary products if they meet certain conditions.
RIAs expect to make some changes to comply with DOL fiduciary rule
They will need to marginally modify their policies and procedures, adjust client agreements and other documents, as well as provide additional client disclosures.
How AARP helped Obama thwart Wall Street on DOL fiduciary rule
Emails show collaboration on strategy and event planning between the powerful lobby, the administration and Labor Department.
How will the DOL enforce its fiduciary rule?
Changes will be felt most markedly in the retail market, where investors will serve as their own enforcement agents.
A DOL fiduciary rule everyone can live with
Final version includes a number of changes that address the most serious concerns of those who most vehemently criticized it.
SIFMA says DOL fiduciary rule pertaining to IRA rollovers still too restrictive
The broker lobbying group also remains concerned about cost and limited investment choices for investors.
In wake of DOL fiduciary rule changes, technology can solve problem of small accounts
Advisers should weigh wealth management technology as an answer to their small-account woes.
New Finra pricing rules for illiquid investments shaking up IBD industry
Firms need to be proactive in conveying information to their advisers.
Financial planners foresee little disruption to practices from DOL fiduciary rule
Three investment advisers who charge fees, commissions and by the hour for their services don't anticipate big changes at their firms.
How the DOL fiduciary rule could affect financial adviser recruiting
Here are some ramifications the new rule may have on adviser movement in the industry.
The silver lining to the DOL fiduciary rule
Managing clients' employer-provided retirement plans increases revenue today and enhances your position on 401(k) rollovers tomorrow.
