Displaying 105 results
401(k) litigators target Coca-Cola bottler
The lawsuit, like others, cites allegedly excessive investment and administrative fees
Fiduciary insurance costs soar amid new 401(k) litigation
It is arguably a scary time to be a retirement plan sponsor, and many might forgo liability coverage
XYPN rules out Supreme Court appeal over Reg BI
The network of fee-for-service advisers will instead focus on state-level fiduciary advocacy
Scalia making hay in his time inside
First he convinced the courts to throw out the fiduciary rule; now he’s crafted a new one as agency chief
DOL denies requests to extend comment deadline on advice proposal
Sen. Murray says agency is ‘charging ahead recklessly’ and could cost retirement savers billions
Brokerage, insurance firms raise concerns about DOL advice proposal
The rewrite of the vacated Obama fiduciary rule also draws criticism from investor advocates
Former DOL officials say agency historically grants hearings on regulatory proposals
Sen. Patty Murray recently requested a session on DOL’s investment advice measure
DOL urged to extend comment period for fiduciary proposal
Consumer and investor advocacy groups have asked Labor to provide more time for public input
SEC rule resets regulatory landscape
Reg BI should serve as a ‘true north’ for state officials and other regulatory agencies that are working on their own standards
Fiduciary lessons from COVID-19 crisis
The handling of the pandemic provides plenty of examples of how to build (or lose) client trust
Finra review shows paths brokerages take to implement Reg BI
Experts say Finra, SEC will focus on firms' process for achieving compliance
3 suits against JPMorgan Chase’s 401(k) plan are joined
The suits allege fiduciaries failed to secure lower fees for plan participants
Brokers try to figure out what ‘good faith efforts’ mean for Reg BI implementation
SEC has released risk alerts outlining examination expectations for Reg BI, Form CRS
SEC maintains deadline for Reg BI
The major investment-advice rule remains on track despite calls to delay implementation amid the COVID-19 crisis
Fidelity liable for some 401(k) claims: Court
The company failed to monitor plan fiduciaries' handling of investment and record-keeping fees, the judge wrote
The virus we’re not containing
Conflicts of interest are a threat, but some regulators don't seem to see the need to restrain them
Finra files rule clarifying where Reg BI supersedes suitability standard
Broker-dealer regulator says Reg BI will clamp down on sales contests
SEC poised to release guidance on Reg BI implementation this month
Other priorities: Probing whether ESG funds live up to the hype, zeroing in on fee conflicts
CFP Board defends decision to remove compensation descriptions from website
CEO Kevin Keller: ‘It’s about fiduciary, not about fees.’
CFP Board removes compensation descriptions from consumer website
Organization says the best way for clients to select an adviser is ‘to have a conversation’ with the adviser
