Service providers have an additional six months to prepare for plan fee disclosure regulations, and it seems that broker-dealers will need all that time
Financial adviser training and compliance expenses could spike for broker-dealers of all sizes — and become especially burdensome to smaller firms — if the Labor Department applies its proposed fiduciary rule to individual retirement accounts, observers say.
Retirement plan clients seem to want it all — and these days, they're asking plan advisers what they can do for their participants in terms of guidance.
Financial adviser training and compliance expenses could become more onerous for broker-dealers -- if the Department of Labor applies its proposed fiduciary rule to IRAs
Does providing a list of options constitute advice?
Advisers have mixed feelings about volatility dampener; 'really restrictive'
Western & Southern Financial Group Inc.'s decision to base its variable annuity investment options on exchange-traded funds is a positive for the insurer, allowing it to better manage market risk tied to the products, according to Moody's Investors Service
SEC claims that Provident Capital made false statements about its ability to cover its bond obligations
