Fiduciary Governance

Fiduciary Governance

By Nevin Adams 7/6/2017 • 0 Comments

The Department of Labor may be reviewing the impact of the fiduciary rule, but they’d still like the court to dismiss challenges to it. READ MORE

By Nevin Adams 7/5/2017 • 0 Comments

The comment period on the fiduciary rule request for information (RFI) is short — and it started July 6. READ MORE

By Nevin Adams 7/3/2017 • 0 Comments

Anyone who has ever found their grand idea shackled to the deliberations of a committee, or who has had to kowtow to the sensibilities of a recalcitrant compliance department, can empathize with the process that produced the Declaration of Independence. READ MORE

By ASPPA Net Staff7/3/2017 • 0 Comments

Would someone really just forget about large sums of money they had accumulated and set aside for years? As every plan administrator knows, the answer is yes. A recent blog post discusses the effects of such financial amnesia. READ MORE

By ASPPA Net Staff7/3/2017 • 0 Comments

Think the transition period for the fiduciary regulation will be extended? Fred Reish has some thoughts… READ MORE

By ASPPA Net Staff6/30/2017 • 0 Comments

Securities and Exchange Commission Chairman Jay Clayton says that his agency must work with the Department of Labor on the fiduciary rule. READ MORE

By Nevin Adams 6/30/2017 • 0 Comments

The DOL has issued its request for comments on a potential delay in the Jan. 1, 2018, applicability date of certain provisions of the fiduciary regulation — but it’s a short window. READ MORE

By Nevin Adams 6/30/2017 • 0 Comments

Just when you think all the 401(k) plans with proprietary funds have been sued — another lawsuit emerges. READ MORE

By Andrew Remo6/23/2017 • 0 Comments

While most respondents to a new survey think eliminating or reducing pre-tax contributions to retirement savings plans is a bad idea, most would definitely or probably still offer them if current pre-tax limits were lowered. READ MORE

By ASPPA Net Staff6/23/2017 • 0 Comments

In a blog post on the fiduciary regulation, Fred Reish examines the components of a “best interest” process. READ MORE

By Nevin Adams 6/22/2017 • 0 Comments

There’s an old regulation that has new meaning under the new fiduciary regulation — and it could catch new fiduciaries, as well as broker-dealers by surprise. READ MORE

By ASPPA Net Staff6/21/2017 • 0 Comments

The American Retirement Association on June 20 filed a comment letter on items to be included in the 2017-2018 IRS guidance plan. The letter was in response to IRS Notice 2017-28. READ MORE

By John Iekel6/19/2017 • 0 Comments

The Carolinas share a border, a name, and a need to address problems with their state pension plans; however, their problems are as different as north is from south. READ MORE

By ASPPA Net Staff6/19/2017 • 0 Comments

In a recent blog post, Fred Reish says that one of the FAQs the DOL issued concerning the fiduciary rule "raises some significant issues” for broker-dealers and RIAs. READ MORE

By ASPPA Net Staff6/19/2017 • 0 Comments

The DOL fiduciary rule — at least significant parts of it — has now been implemented. A recent analysis offers an assessment of where things stand. READ MORE

By John Iekel6/12/2017 • 0 Comments

It’s heeeeere. But for many practitioners, practices and firms that read the tea leaves, the fiduciary rule has been a reality for a while and already has shaped what they do and how they do it.
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By Ted Godbout6/9/2017 • 0 Comments

The House approved legislation on June 8 that seeks to repeal major provisions of the Dodd-Frank Act, as well as the DOL’s now-effective fiduciary rule. READ MORE

By John Iekel6/8/2017 • 0 Comments

No tropical systems are near the U.S. yet, but it can be helpful to review ways that plan sponsors and their service providers can prepare… just in case. READ MORE

By Nevin Adams6/7/2017 • 0 Comments

The DOL has taken its first step in the review of the fiduciary regulation ordered by President Trump earlier this year. READ MORE

By John Iekel6/6/2017 • 0 Comments

Newly minted SEC Chairman Clayton welcomes the DOL's invitation to look at the standards of conduct that are at the core of the DOL’s fiduciary rule. READ MORE

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