Fiduciary Governance

Fiduciary Governance

By John Iekel10/18/2017 • 0 Comments

The PBGC announced on Oct. 16 that it is launching a new pilot program that will offer mediation in certain Termination Liability Collection and Early Warning Program cases. READ MORE

By Nevin Adams10/18/2017 • 0 Comments

The Department of Labor (DOL) continues to fight an attempt by at least one fiduciary rule opponent to pursue its case in court. READ MORE

By Nevin Adams10/13/2017 • 0 Comments

There’s an old saying that when you assume… well, here are six assumptions that can create real headaches for retirement plan fiduciaries. READ MORE

By ASPPA Net Staff10/11/2017 • 0 Comments

One of the fiduciary regulation’s most ardent supporters has expressed both concerns — and skepticism — that brokerage firms are shifting investors into account structures that result in higher costs. READ MORE

By Ted Godbout10/11/2017 • 0 Comments

A published report says the Trump administration is prepared to nominate a new Assistant Secretary for the Department of Labor’s Employee Benefits Security Administration (EBSA). READ MORE

By John Iekel10/5/2017 • 0 Comments

SEC Chairman Jay Clayton reiterated on Oct. 4 in testimony before the House Financial Services Committee that he is “focused on the standards of conduct” for investment professionals. READ MORE

By Ted Godbout9/28/2017 • 0 Comments

Rep. Ann Wagner (R-MO) introduced legislation on Sept. 27 that would repeal the Department of Labor’s (DOL) fiduciary rule and create a new standard of conduct for brokers and dealers. READ MORE

By John Iekel9/26/2017 • 0 Comments

SEC Chairman Jay Clayton told the Senate Committee on Banking, Housing and Urban Affairs he hopes the SEC can “properly tailor” an approach that will best address issues related to the DOL fiduciary rule. READ MORE

By John Iekel9/21/2017 • 0 Comments

A sharper focus on how fiduciary duties are discharged and a heightened awareness of how one is performing such functions will not go away anytime soon; a recent paper discusses fiduciary risk and management. READ MORE

By ASPPA Net Staff9/20/2017 • 0 Comments

Legislation that would repeal the DOL’s fiduciary rule would have a negligible effect on federal revenues, say multiple cost estimates. READ MORE

By John Iekel9/15/2017 • 0 Comments

Running the plan and investing in a way mindful of environmental, social and governance concerns is a practice some plans follow, but a recent commentary questions whether that inhibits fulfilling fiduciary responsibility. READ MORE

By ASPPA Net Staff9/14/2017 • 0 Comments

The U.S. House on Sept. 14 passed a bill that contains a sentence that seeks to do away with the fiduciary regulation — with language that some might find eerily prophetic. READ MORE

By John Iekel9/14/2017 • 0 Comments

The PBGC says in Disaster Relief Announcement 17-11 that in response to Hurricane Irma it is waiving certain penalties and extending certain deadlines in qualifying parts of Florida. READ MORE

By ASPPA Net Staff9/13/2017 • 0 Comments

The American Retirement Association, parent organization of ASPPA, has weighed in on extending the special transition period under the Best Interest Contract Exemption (and related exemptions). READ MORE

By Nevin Adams9/7/2017 • 0 Comments

Sen. Elizabeth Warren (D-MA) says that financial firms are “fully ready” to comply with the fiduciary rule — and you don’t need to take her word for it. READ MORE

By ASPPA Net Staff9/6/2017 • 0 Comments

So what plans ARE covered by the fiduciary rule? A recent blog post addresses that question, as well as which plans the rule does not cover. READ MORE

By ASPPA Net Staff9/1/2017 • 0 Comments

Labor Secretary Alexander Acosta will meet Sept. 5 with representatives of companies that oppose the Obama administration’s fiduciary rule, according to a published report. READ MORE

By Nevin Adams8/31/2017 • 0 Comments

The Labor Department says it won’t enforce a provision of the fiduciary rule’s arbitration ban. READ MORE

By Nevin Adams 8/29/2017 • 0 Comments

The Office of Management and Budget has made a quick response to the Labor Department’s request for a delay in the full BIC applicability date. READ MORE

By Nevin Adams8/28/2017 • 0 Comments

A new excessive fee suit claims that plan fiduciaries “abdicated” their responsibilities, allowing the plans’ trustee “…to load the Plans with high-cost mutual funds.” READ MORE

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