Results for "fiduciary"

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How 401(k) plan advisers win under the final DOL fiduciary rule

April 7, 2016

401(k) advisers won significant concessions from the Labor Department in the final draft of its fiduciary rule, ranging from relief on rollovers and education to the easing of restrictions on advisers operating in the small-plan market. The...

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...

As DOL fiduciary rule takes effect, B-Ds focus on compliance

June 9, 2017

After seven years of rule-making fraught with political intrigue, intense lobbying and an abundance of conjecture, the Labor Department's fiduciary rule is getting its day in the sun. Today marks the beginning of a phased implementation period...

Will product pricing pressures carry over to advisory fees?

November 30, 2016

As low-cost index funds and ETFs continue to take market share from higher-cost actively managed funds, financial advisers could soon find themselves caught up in the downward pressure on fees. Emily Sweet, senior analyst at Cerulli Associates,...

John Oliver's criticism helps fiduciary duty go prime time

June 19, 2016

For the last six years, the debate over a Labor Department regulation to raise investment advice standards for retirement accounts has been conducted mostly among regulators, lawmakers, industry officials and financial advisers. Now the people...

Regulatory changes abroad hint at the DOL fiduciary rule's potential impact

April 17, 2016

As the advice business digests the Labor Department's new adviser fiduciary requirements for retirement accounts, it's too early to know whether the rule's advocates or its critics will be vindicated. Long-time proponents say the new standards...

Post-DOL fiduciary rule, Wall Street gives the nod to low-cost fund companies

April 12, 2016

As mutual fund companies continue to ponder the effects of the Department of Labor's fiduciary rule, Wall Street is weighing in as well. The early results aren't favoring broker-sold fund companies. Even though there have only been four full...

A DOL fiduciary rule everyone can live with

April 10, 2016

For months, the Labor Department has been assuring members of the financial advice industry and other interested parties that it was listening to them and carefully considering the thousands of comment letters it received about its proposed...

Going under the hood of the new DOL fiduciary rule

April 6, 2016

The Labor Department has just revealed the final scope of a controversial new rule intended to raise investment advice standards on retirement accounts. It's the most significant change in the retirement and IRA marketplace since the ERISA law...

RIAs could be ultimate winners if DOL fiduciary rule is repealed or delayed

January 11, 2017

As potential delays and road blocks pile up in front the Department of Labor's fiduciary rule, an irony is emerging in that the strongest supporters of the rule could benefit the most from the rule's demise. Independent registered investment...

The DOL fiduciary rule will forever change financial advice, and the industry has to adapt

May 9, 2016

Americans won hard-fought protections regarding the purity of their retirement advice last month. Now it's up to the nation's financial advisers to decide whether they'll meet the letter — and spirit — of the historic investor protection...

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