Fiduciary

Displaying 1187 results

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Brokers generally ‘meeting their obligations’ on Reg BI: Clayton

Advisory firms should provide more details to reps on how to comply with the new rules, said SEC staff members

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Demand for financial wellness is overwhelming

Plan sponsors want the services for their participants, but wellness has done little to help people improve their financial lives

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UBS rolls out small-business 401(k) fiduciary program

The firm is also adding student-loan guidance for workplace wealth clients

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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

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Reg BI promotes same standard of care across advice models: SEC’s Clayton

'I think it’s going pretty well,' he said about the first four months since implementation

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401(k) plans should allow cross selling: Report

Hearts & Wallets report finds participants want advice that their employer-sponsored plans simply can't provide

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Nestle sued over its 401(k)

A class-action lawsuit alleges excessive record-keeping and managed account fees

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XYPN advocates for consistent regulation of fee-for-service advisory model

The group's lobbying effort must address states’ concerns about charging without delivering

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How aging advisers could hurt the 401(k) industry

Retaining ownership of a practice for too long can be risky

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XYPN rules out Supreme Court appeal over Reg BI

The network of fee-for-service advisers will instead focus on state-level fiduciary advocacy