Showing in writing that you're following prudent processes will allay clients' fears.
Would ERISA preempt states' IRA efforts, given federal responsibility for ERISA-regulated employee benefit plans?
The expectations many investors have baked into their financial plans for the future are based upon recent or historic gains.
DOL should craft an exemption for when a fiduciary retirement plan adviser is called on to assist with a rollover decision
The court underscored the critical importance that persons entrusted with the assets of others cannot simply make the initial investment decision and walk away.
Advisers should step back from the current industry fixation on digital portfolio management capabilities to think about what investors may find most useful.
DOL, swayed by more flexible "best interests' standard, would allow variable compensation
New regulations aside, megatrends will demand that advisers align themselves with clients.
The dominance of algorithms in trading means advisers need to re-evaluate their processes
Supreme Court is reviewing a decision on the responsibility of plans to continually watch costs
