Results for "fiduciary"

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Riskalyze seeks to leverage DOL fiduciary rule with wealth management platform

November 3, 2015

Riskalyze, the company that offers risk assessment and alignment with client portfolios, has created a wealth management dashboard that links the company's three services: risk, a robo-adviser and compliance. The Real-Time Wealth Management...

Bill to stop DOL fiduciary rule poised to pass House today

October 27, 2015

[Update since the story published: The bill did pass the House on Tuesday on an almost party-line vote, 245-186, with only three Democrats voting for it and two Republicans voting against it.] Legislation that would block a Labor Department...

NAPFA leader claims 'moral high ground' in fiduciary fight

October 26, 2015

Fee-only investment advisers who support a pending Labor Department advice rule say they will step up their lobbying in order to project their voices amid the din of industry opposition. “We are outspent and outgunned, but we have the moral...

Lawmakers chafe at SEC's slog through fiduciary rule process

October 23, 2015

Lawmakers expressed frustration Friday with the Securities and Exchange Commission's slow walk toward proposing a rule that would raise investment advice standards while the Labor Department marches along. In an appearance before a House Financial...

Advisers missing major wrinkle in DOL's fiduciary rule

October 22, 2015

Since the Labor Department reproposed its draft rule to expand the definition of fiduciary – and its oversight of Americans' retirement accounts – earlier this year, one key misconception has kept some segments of our industry from fully...

DOL supports ESG fund use in 401(k) plans

October 22, 2015

The Labor Department wants to make it easier for 401(k) plans to use environmental, social and governance funds by issuing new guidance meant to boost plan fiduciaries' consideration of such funds. Fiduciaries had been wary of introducing ESG...

Pension trade group believes DOL fiduciary rule is all but inevitable

October 19, 2015

Hundreds of retirement plan advisers are shifting their game plan as they descend on Capitol Hill this week. Instead of urging lawmakers to kill a Labor Department rule that would raise advice standards for 401(k)s and IRAs, they've accepted...

DOL, industry spar over cost estimates for fiduciary rule

October 16, 2015

Labor Secretary Thomas Perez defended a proposal to raise investment advice standards for retirement accounts by asserting that studies showing the need for such a rule are more reliable than industry-funded analyses that question it. In a speech...

4 ways the Labor Department is about to rock our world

October 13, 2015

Every once in a while the government passes a regulation that completely alters the landscape. The new standards proposed by the Labor Department for ERISA participants and their advisers will have the biggest impact since the deregulation of...

Hillary Clinton gives thumbs up to DOL fiduciary rule

October 8, 2015

If Hillary Clinton is elected president, she likely will pick up where the Obama administration leaves off on a Labor Department proposal to change investment advice standards for retirement accounts. In a proposal for financial reform released...

Does Hillary Clinton want to protect the DOL fiduciary rule?

October 7, 2015

So far in her presidential campaign, former Secretary of State Hillary Rodham Clinton has not mentioned a Labor Department rule that would change investment advice standards for retirement accounts. But a recent letter to Democratic lawmakers...

As DOL fiduciary heats up, both sides dig in

October 4, 2015

The battle over a Labor Department proposal to raise investment advice standards for retirement accounts reached a new level of nasty last week, as supporters and opponents dug in for months of fighting ahead. Over the course of a few days,...

Advisers form coalition to oppose DOL fiduciary rule

October 2, 2015

A group of financial advisers has launched an effort to stop a Labor Department proposal that would raise investment advice standards for brokers working with retirement accounts. The Coalition to Protect Retirement Security and Choice is comprised...

Democrats oppose bill to thwart DOL fiduciary rule

September 30, 2015

Democratic lawmakers indicated Wednesday they will oppose legislation to halt a Labor Department rule that would change investment advice standards for retirement accounts. Even Democrats who backed a similar bill two years ago said at a House...

DOL official promises changes to fiduciary rule based on avalanche of comments

September 29, 2015

The Labor Department will make changes to a proposal to raise investment advice standards for retirement accounts as soon as it digests thousands of comments letters, the official spearheading the rule said Tuesday. “You're likely to see that...

Bipartisan backing to halt DOL fiduciary rule nowhere in sight

September 10, 2015

Members of Congress showed their stripes at a hearing in the House of Representatives on Thursday, with Democrats appearing willing to stand with the Obama administration on a controversial Labor Department regulation that would raise investment...

Groups opposing DOL fiduciary rule step up lobbying spending

August 27, 2015

Interest groups wanting to stop a Labor Department proposal that would change the rules for investment advice to retirement accounts have stepped up their lobbying expenditures. The Financial Services Institute, for instance, has spent $428,876...

Labor Department's fiduciary rule too complicated to put into practice: FSI

August 24, 2015

Earlier this month, the Labor Department held public hearings to discuss the input and concerns they have received from industry groups and other stakeholders that will be impacted by the department's proposal to expand the definition of “fiduciary”...

As the Labor Department moves closer to a fiduciary standard, rhetoric reaches fever pitch

August 23, 2015

As the Labor Department moves ever closer to a final fiduciary standard rule, the rhetoric, predictably, has reached fever pitch. The department's recently completed four-day marathon of hearings featured the usual suspects trotting out the...

If Obama holds firm, here's what the DOL fiduciary rule will end up looking like

August 13, 2015

After four days of hearings at the Labor Department, the fate of a proposal to raise investment advice standards for retirement accounts will be determined by one thing: the strength of President Barack Obama's political backbone. If Mr. Obama...

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