Fiduciary Corner

Blaine F. Aikin, chief executive of fi360, sheds light on the latest issues facing fiduciaries.

Displaying 124 results

Topic

Who benefits from the SECURE Act?

Despite the legislation's encouragement of pooled employer retirement plans, working with the small businesses likely to be most interested could be challenging

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Proposal to amend SEC testimonial rule to greatly expand advisers’ advertising efforts

Advisers will need to be well-versed on the details before starting an aggressive marketing campaign.

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ESG data getting better as the market matures

In one indication of how rapidly the market is evolving, S&P Dow Jones launched the S&P 500 ESG Index in January.

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What you need to know about professional fiduciaries

A new model law would allow states to do a better job of protecting the interests of those subject to guardianship.

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Fiduciary duty and the choice between active and passive

The well-recognized merits of passive investing do not mean that all index investments are prudent or superior to active alternatives in all situations.

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Can investment advisers disclose away all conflicts? Can brokers?

There's still disagreement over whether disclosure and informed client consent are enough to satisfy a fiduciary's obligation to act in the client's best interest.

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Client divorce splits advisers’ fiduciary duty of loyalty

Working with a divorcing couple poses challenges, but specialized training programs can help advisers better serve this large market segment.

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Why you should still take the fiduciary high ground on 401(k) rollovers

Despite death of DOL fiduciary rule, regulators continue to look at rollover advice from advisers.

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When it comes to the proposed SEC advice rule, words matter

The rule would create a second, non-fiduciary version of the term 'best interest.'

Topic

Time for SEC to take fiduciary baton from DOL

The SEC likely will adopt the DOL's definition of fiduciary, and put a rule in place by the end of 2019.

Topic

These 401(k) lawsuits show the value of investment policy statements

Abiding a well-crafted IPS can help minimize legal trouble for plan fiduciaries.

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Mitigating conflicts of interest in compensation

Self-regulation could yield less government intervention and greater firm flexibility to satisfy fiduciary principles.

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The challenge of the longer lifespan

How financial advisers can help clients face the threat of outliving retirement savings

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The fiduciary rule for retirement advice faces an uncertain future

Other states could move in to plug the fiduciary gap if the DOL and SEC devise a watered-down standard.

Topic

Include health savings accounts in fiduciary process

The DOL rule that requires acting in clients' best interests will apply to these accounts.

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Elected officials held to fiduciary standard

Just as advisers are obligated to fulfill fiduciary duties, elected officials are similarly obligated when it comes to public policy.

Topic

Titles advisers use to play a bigger role in fiduciary regulation

Even opponents of the DOL rule appear to be zeroing in on titles that cause confusion with the investing public.

Topic

Don’t discount public company disclosures in fiduciary process

Actionable disclosure information is central to fulfillment of fiduciary obligations and plays an important role in advancing the profession.

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Advisers have a fiduciary duty to put robust business continuity plans in place

As fiduciaries, advisers have twin duties of loyalty and care to their clients.

Topic

Collective investment trusts rise in popularity as attractive alternatives to mutual funds

Fiduciaries need to be well versed in these low-cost investment vehicles and how to assess them.