Fiduciary Governance

Fiduciary Governance

By Ted Godbout5/8/2018 • 0 Comments

As anticipated, the DOL has extended until further notice its temporary enforcement policy relating to its rule defining who is a fiduciary and the associated prohibited transaction exemptions. READ MORE

By ASPPA Net Staff5/8/2018 • 0 Comments

One of the most vocal critics of the Labor Department’s fiduciary rule is leaving the Securities and Exchange Commission — with a mammoth advice proposal out for public comment. READ MORE

By Ted Godbout4/29/2018 • 0 Comments

Leading ERISA legal minds believe the SEC’s proposals to establish new standards of conduct for broker-dealers and investment advisers still need a lot of work. READ MORE

By Nevin Adams4/29/2018 • 0 Comments

Sometimes the hype surrounding a new blockbuster is so compelling that it builds up expectations beyond the reality; doubtless that was the sense of many in reading the Best Interest Regulation proposal published by the SEC. READ MORE

By Ted Godbout4/27/2018 • 0 Comments

Fearing that the current administration will not defend the fiduciary rule, AARP on April 26 filed a motion to intervene, seeking an en banc review of a divided panel ruling by the U.S. Court of Appeals for the 5th Circuit. READ MORE

By Nevin Adams 4/27/2018 • 0 Comments

Three states have now entered the fiduciary rule litigation arena, claiming that they “can no longer rely on DOL to adequately represent their interests.” READ MORE

By ASPPA Net Staff4/26/2018 • 0 Comments

A long-time proponent of the Labor Depatment’s fiduciary rule is planning to challenge the recent 5th Circuit decision to vacate the rule. READ MORE

By Ted Godbout4/25/2018 • 0 Comments

Speculation continues to swirl on whether the Department of Labor will appeal the ruling by the 5th U.S. Circuit Court of Appeals vacating the fiduciary rule, but time is running short. READ MORE

By Nevin Adams4/25/2018 • 0 Comments

While reiterating some long-standing positions on socially responsive investing, the DOL has some new cautions about an ESG emphasis in plan design and proxy voting. READ MORE

By Nevin Adams 4/19/2018 • 0 Comments

Despite the 4-1 vote by the SEC to release for public comment its fiduciary proposals, the commissioners apparently (still) have issues with the current version. READ MORE

By Andrew Remo4/19/2018 • 0 Comments

The SEC commissioners voted 4-1 to release for public comment a set of proposals to “enhance the quality and transparency of investors’ relationships with investment advisers and broker-dealers while preserving access to a variety of types of advice relationships and investment products.” READ MORE

By John Iekel 4/13/2018 • 0 Comments

Panelists shared their perspectives on the importance of lifetime income options and ways to enhance their availability at the recent Enrolled Actuaries Meeting held in Washington, DC. READ MORE

By Ted Godbout4/13/2018 • 0 Comments

As workers become more highly mobile, and frequently change jobs and homes, the task of finding missing plan participants can be a time-consuming and difficult process for plan sponsors. READ MORE

By John Iekel 4/13/2018 • 0 Comments

On April 11 at the Enrolled Agents Meeting held in Washington, DC, PBGC officials discussed compliance issues regarding single-employer plans, with a focus on late filings and missing participants. READ MORE

By Nevin Adams 4/12/2018 • 0 Comments

Scottrade wants to make a federal case out of an administrative proceeding filed by Massachusetts alleging violations of internal policies adopted in anticipation of the Labor Department’s fiduciary rule. READ MORE

By Nevin Adams 4/12/2018 • 0 Comments

The Securities and Exchange Commission has announced plans for an open meeting to consider the agency’s long-awaited — and much anticipated — fiduciary proposal. READ MORE

By John Iekel 4/11/2018 • 0 Comments

The IRS and Treasury Department are “making progress” on guidance regarding missing participants, according to a panelist at an April 11 session of the Enrolled Actuaries meeting held in Washington, DC. READ MORE

By Robert Toth4/6/2018 • 0 Comments

The Tax Cuts and Jobs Act’s participant loan changes trigger the “uncomfortable” manner in which ERISA’s fiduciary rules apply to loans and their administration. READ MORE

By John Iekel3/29/2018 • 0 Comments

The Department of Labor’s (DOL) fiduciary rule may be on hold indefinitely, but that doesn’t mean that fiduciary duties similarly are in limbo. A recent blog entry offers some tips for meeting them. READ MORE

By ASPPA Net Staff3/28/2018 • 0 Comments

The 5th Circuit Court of Appeals recently “vacated” the DOL’s fiduciary rule and exemptions. Fred Reish discusses what that means for recommendations to participants that they take plan distributions and roll them over to IRAs. READ MORE

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