Two Other BD Issues Still Loom
The independent broker-dealer community has consistently and loudly derided the Department of Labor's on-again, off-again plan to redefine fiduciary under the Employee Retirement Income Security Act. In late October, Labor Secretary Thomas Perez said the department continues to “reach out to stakeholders” regarding the redraft of its rule so that...
DOL Advisor Crackdown Is ‘Out of Control’: Benefits Lawyer
The DOL conducted more than 3,600 audits of qualified retirement plans last year. Settlements related to violations totaled $1.7 billion in plan reimbursements and fines.
New DOL Fiduciary Rule Will Hurt Retirees, Panelists Say
While consumer advocates favor compelling brokers to act in a client’s best interest, much of the financial lobby is dead-set against them.
American Funds Fights Active Management ‘Misperceptions’
Decades old, the debate over passive investment strategies vs. active isn’t about to die down anytime soon.
HSAs: The Next Big Thing in Retirement Planning?
Plan sponsors are starting to see HSAs as investment vehicles, not just cash balances used to pay out-of-pocket medical costs.
15 Best & Worst TDFs for 2015 Retirees
Here are the 15 best- and worst-performing funds with a target date of 2015, according to the Center for Due Diligence.
12 Best Practices for Choosing the Right Tactical Allocation Strategy
Plan fiduciaries face unique challenges when evaluating the actual benefits of TAAs.
The Successful Retirement Plan Advisor, Pt. 2: Profile in Success—Trisha Brambley
As part of our series on what the most successful retirement plan advisors have in common, we profile Trisha Brambley of Retirement Playbook Inc.
Benartzi Says 401(k) Success Hinges on Improving Access, Removing 3 Obstacles: CFDD 2011
It’s not enough to think about improving outcomes.
7 Processes for Retirement Planning: CFDD 2011
Retirement planning has been pushed as a product over the past several years, Jack Gardner of Thornburg Investments said. Advisors who focus on planning as a process rather than pushing a series of products, though, will get more assets.