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May 06, 2024 at 10:31 AM
The world of retirement is always evolving, especially when it comes to the rules and regulations that govern employer-sponsored 401(k) plans and IRA rollovers. Thanks to recent changes in the law and evolving consumer preferences, the traditionally separate worlds of retail wealth management and workplace retirement plans are increasingly unified — and advisors are having to evolve their practices as a result.
In this episode of the Ask the Retirement Expert podcast series, ThinkAdvisor Senior Reporter John Manganaro speaks with Bonnie Treichel, the well-known retirement legislation and regulation attorney who founded Endeavor Retirement and Endeavor Law. In her practice, Treichel specializes in ERISA compliance and regulatory matters for plan sponsors, advisors and service providers. She also provides assistance with securities issues, DOL and IRS corrections, and serves as a fractional general counsel for clients.
As Treichel explains, financial advisors have a big opportunity to grow their practices by working with 401(k) plans, but they also must ensure they live up to their regulatory responsibilities. Getting the effort right can unlock a powerful source of growth, while mistakes can result in potentially significant legal liability.
Other topics covered in the episode include:
- The ongoing evolution of the DOL fiduciary regulations.
- Treichel’s experience as a retirement industry entrepreneur.
- Career opportunities in the retirement space and more.
To listen to the previous episode, click here.
To listen to additional podcasts within the Ask the Retirement Expert series, click here.
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