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Despite the legislation's encouragement of pooled employer retirement plans, working with the small businesses likely to be most interested could be challenging
Advisers will need to be well-versed on the details before starting an aggressive marketing campaign.
In one indication of how rapidly the market is evolving, S&P Dow Jones launched the S&P 500 ESG Index in January.
A new model law would allow states to do a better job of protecting the interests of those subject to guardianship.
The well-recognized merits of passive investing do not mean that all index investments are prudent or superior to active alternatives in all situations.
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.
Working with a divorcing couple poses challenges, but specialized training programs can help advisers better serve this large market segment.
Despite death of DOL fiduciary rule, regulators continue to look at rollover advice from advisers.
The rule would create a second, non-fiduciary version of the term 'best interest.'
The SEC likely will adopt the DOL's definition of fiduciary, and put a rule in place by the end of 2019.
Abiding a well-crafted IPS can help minimize legal trouble for plan fiduciaries.
Self-regulation could yield less government intervention and greater firm flexibility to satisfy fiduciary principles.
How financial advisers can help clients face the threat of outliving retirement savings
Other states could move in to plug the fiduciary gap if the DOL and SEC devise a watered-down standard.
The DOL rule that requires acting in clients' best interests will apply to these accounts.
Just as advisers are obligated to fulfill fiduciary duties, elected officials are similarly obligated when it comes to public policy.
Even opponents of the DOL rule appear to be zeroing in on titles that cause confusion with the investing public.
Actionable disclosure information is central to fulfillment of fiduciary obligations and plays an important role in advancing the profession.
As fiduciaries, advisers have twin duties of loyalty and care to their clients.
Fiduciaries need to be well versed in these low-cost investment vehicles and how to assess them.
- Alternative Investments
- Bonds / Fixed Income
- Client Prospecting
- Client Servicing
- Defined Benefit Plans
- Defined Contribution Plans
- Health Care
- Individual Retirement Accounts
- Independent Broker-Dealers