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.
DOL’s Best Interest Standard May Be Tougher Than It Looks
By Bob ClarkThere were a number of excellent comments to my last blog, including a tome-like tutorial by Ron Rhoades on best interest and sole interest standards.
May 24, 2016
DOL’s Hauser Warns BDs to Prep for Fiduciary Deadline; AARP to Deploy ‘Mystery Shoppers’Hauser says BDs should be "nervous" if they aren't ready by April; meanwhile, AARP plans to assemble mystery shoppers to see if advisors are complying.
May 23, 2016
Finke: DOL Rule May ‘Drop Bomb’ on Asset Management IndustryAnnuities, nontraded REITs and even mutual funds face a transformed environment under the DOL fiduciary rule, Michael Finke writes.
May 19, 2016
‘Befuddled’ Clients, Compliance Headaches Worry Advisors in Wake of DOL Fiduciary RuleA panel at the Envestnet Advisor Summit on Thursday addressed the concerns advisors have with the DOLs conflict of interest rule.
May 19, 2016
6 DOL fiduciary tasks to tackle before first deadlineAdvisory firms have a lot to do between now and April 10, 2017.
May 19, 2016
6 DOL fiduciary tasks to tackle before first deadlineAdvisory firms have a lot to do between now and April 10, 2017.
May 19, 2016
What Advisors Really Think of DOL Fiduciary Rule: ThinkAdvisor PollReaders weigh in on matters like whether DOL should be sued (hint: Perez, beware of pitchforks) and what products would be affected.
May 18, 2016
For IRA Investors, a Warning on DOL Fiduciary RuleThe DOL's conflict of interest rule didn't quite extend fiduciary protection all the way to IRAs, Bob Clark writes.