DOL
Get the latest news and insights on the Department of Labor's moves around the fiduciary rule, other financial regulations, enforcement actions and more.
IRI study to examine reasonable compensation under DOL rule
By Kristen Beckman, Arthur D. PostalThe survey will seek to determine compensation trends in the market to help advisors adhere to reasonable compensation requirements.
September 20, 2016
fi360 Launches DOL Fiduciary Training ProgramFiduciary Essentials for Advisors is divided into five modules covering DOL fiduciary rules and fi360s fiduciary best practices.
September 20, 2016
Self-Directed IRAs: Avoiding DOL Fiduciary Rule LiabilityThe DOL fiduciary rule could increase the use of self-directed IRAs, but the role of the advisor does not end once a client chooses one.
September 16, 2016
‘Rolling’ DOL Fiduciary Guidance Begins in Fall: DOL’s HauserOur main goal in the near-term is to help people get to compliance, Hauser said, as the April deadline nears.
September 16, 2016
Not ready to become a DOL-compliant FI? Go partner with oneLegacy Marketing Group plans to share with IMO partners a DOL rule-friendly sales and compliance process.
September 16, 2016
Not ready to become a DOL-compliant FI? Go partner with oneLegacy Marketing Group plans to share with IMO partners a DOL rule-friendly sales and compliance process.
September 15, 2016
More advisors interested in regulatory trainingForty percent of advisors are eager for regulatory training in the face of the DOL fiduciary rule implementation.
September 15, 2016
Compliance Support for DOL Fiduciary Rule Next Big Advisor Need: CogentAdvisor education may be important for firms as much for assuaging fears and easing confusion as for compliance, new research from Cogent says.