Like a nagging cold, leakage from defined-contribution plans continues to bedevil plan sponsors and their providers
Going independent has never been easier, but there are still a host of issues to consider. This first installment of a four-part special report explores the ins-and-outs of starting your own practice.
Service providers have an additional six months to prepare for plan fee disclosure regulations, and it seems that broker-dealers will need all that time
Financial adviser training and compliance expenses could spike for broker-dealers of all sizes — and become especially burdensome to smaller firms — if the Labor Department applies its proposed fiduciary rule to individual retirement accounts, observers say.
Retirement plan clients seem to want it all — and these days, they're asking plan advisers what they can do for their participants in terms of guidance.
Measure dramatically raises amount families can dole out tax-free; 'take it while you can'
Wells Fargo & Co. may expand by taking over non-bank companies, including wealth-management or insurance businesses, chief executive officer John Stumpf said.
Wilmington Trust Co., the Delaware bank founded by the du Pont family and being bought by M&T Bank Corp., sued three former company vice presidents who defected to Citigroup Inc., allegedly with proprietary data.
Does providing a list of options constitute advice?
Survey finds U.S. citizens still not overly interesting in stashing cash away
Bring on the fiduciary standard. In a recent InvestmentNews survey of almost 600 advisers, registered reps, financial planners, insurance agents and others, 69.2% said that they agree with the SEC's staff recommendation that any financial professional giving personalized investment advice be deemed a fiduciary
Will serve as managing director for firm with $7.1B in AUMs; outfit started out as John D.'s family office in 1882
Rejiggered, standalone line of business now reports directly to the CEO; meanwhile, investment product management boss departs
Lawyers cite risk of information overload; 'confusing' to participants
Company says O shares won't have front-end load, making them cheaper than other contracts; will likely discourage exchanges
More detail? Less detail? Groups disagree about the DOL's plan to hike disclosure about the funds
Rule requiring greater disclosure draws fire from retirement plan providers
Section 401(k) of the Internal Revenue Code went into effect in 1980 and subsequently launched what has become the largest private-sector retirement plan in the United States.
