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Viewing posts in the Great Sources of Information category.


Fi360 Fiduciary Talk 47: Filling the void in guaranteed retirement income

Posted by Fi360 on March 17, 2017 in Great Sources of Information

Fi360 Fiduciary Talk 47: Filling the void in guaranteed retirement income

Fi360 Fiduciary Talk 47: Filling the void in guaranteed retirement income

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Fi360 Fiduciary Talk 45: Fiduciary Rule scores victory in Texas

Posted by Fi360 on February 10, 2017 in Great Sources of Information

Fi360 Fiduciary Talk 45: Fiduciary Rule scores victory in Texas

Fi360 Fiduciary Talk 45: Fiduciary Rule scores victory in Texas

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Fi360 Fiduciary Talk 44: DOL Releases Second Set of FAQs

Posted by Fi360 on February 02, 2017 in Great Sources of Information

Blaine and Duane discuss the release of a second set of FAQs from the DOL on its Conflicts of Interest Rule.

Fi360 Fiduciary Talk 44: DOL Releases Second Set of FAQs

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PRI Policy Brief Re: Updated Impact Analysis of November Elections on DOL Fiduciary Rule

Posted by fi360 AIFA Designee, Jason C. Roberts, Esq. on November 23, 2016 in Great Sources of Information

Immediately following the November 8th election, PRI released a Policy Brief describing potential impacts to the Department of Labor (DOL) Fiduciary Rule. This second brief contains updated information, as the situation and our understanding, continues to evolve.

PRI Policy Brief Re: Updated Impact Analysis of November Elections on DOL Fiduciary Rule

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Congratulations to the fi360 Article Competition winner!

Posted by fi360 on November 03, 2016 in Great Sources of Information

Congratulations to the fi360 Article Competition winner!

Congratulations to the fi360 Article Competition winner!

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fi360 Fiduciary Talk 39: What the Election Means for Advisors and the Fiduciary Standard

Posted by fi360 on November 01, 2016 in Great Sources of Information

What the Election Means for Advisors and the Fiduciary Standard

fi360 Fiduciary Talk 39: What the Election Means for Advisors and the Fiduciary Standard

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DOL Rule Change Forces Due Diligence Process Makeover. Cut the RFP Burden by 75% with Three Key Questions.

Posted by fi360 AIFA Designee, Al Otto on October 19, 2016 in Great Sources of Information

For retirement plan sponsors, the risks of choosing the wrong investment advisor or consultant just became a lot greater.

DOL Rule Change Forces Due Diligence Process Makeover. Cut the RFP Burden by 75% with Three Key Questions.

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Wall Street Litigation Opens Window on Product Sales Conflicts

Posted by Duane Thompson on June 13, 2014 in Great Sources of Information In the News Legal

>>>The attempted defection by most of Deutsche Bank Securities’ private client group to an advisory firm last month offers a new twist to the old-fashioned tale of broker-poaching on Wall Street. In what may be a sign of the times, Wall Street executives are now encountering a new fiduciary culture emerging within its ranks, not merely brokers jumping ship for greener pastures. According to court documents in two lawsuits filed with the New York Supreme Court in Manhattan last month, Deutsche Bank Trust Company Americas v. HPM Partners and Pace v. Deutsche Bank Securities Inc.,...

Wall Street Litigation Opens Window on Product Sales Conflicts

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Fiduciary Links: Survey Paints Unflattering Portrait of Financial Services Leadership

Posted by fi360 Team on July 29, 2013 in Advocacy Great Sources of Information In the News

>>>>“No matter what commercial crisis we examine, there are, almost without exception, three factors that form a perfect storm: greed, weak leadership and fear.” Those are the words used by law firm Labaton Sucharow LLP to summarize the findings of their second annual financial services industry survey. In his latest Fiduciary Corner column for InvestmentNews, Blaine Aikin takes a look at how investors are completely justified in questioning the trustworthiness of those in financial services. Among the findings are that roughly a quarter of all advisors surveyed had firsthand knowledge of wrongdoing, feel incentivized...

Fiduciary Links: Survey Paints Unflattering Portrait of Financial Services Leadership

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Fiduciary Comment Day Arrives

Posted by Byron Bowman on July 10, 2013 in Great Sources of Information In the News Legal

>>>>>Friday, July 5, was the second day of a four-day weekend for many people; but for those interested in the SEC’s consideration of the fiduciary standard and the harmonization of investment adviser and broker-dealer regulation, it was “Comment Day.”  That marked the end of the period to respond to the SEC’s request for information (“RFI”) regarding the effects of the imposition of a fiduciary standard on broker-dealers that provide retail investment advice and the effects of harmonization.  Almost 30 comments were filed on Friday (with an additional...

Fiduciary Comment Day Arrives

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Fiduciary Links: ERISA 3(38) Investment Management Agreement Webinar Announced

Posted by fi360 Team on July 01, 2013 in Fiduciary Links Great Sources of Information In the News

>>>>On Thursday, July 11th, fi360 and Pioneer Investments will be hosting a webinar, ERISA 3(38) Investment Management Agreement, at 4:15 p.m. ET. The session will be led by ERISA attorney Fred Reish from Drinker Biddle & Reath LLP law firm.     Some of the topics that will be covered include the role of a 3(38) discretionary investment manager for 401(k) plans, and the protections afforded to plan sponsors and fiduciaries. The decisions that need to be made in the development of a 3(38) investment manager relationship and the unique provisions of a 3(38)...

Fiduciary Links: ERISA 3(38) Investment Management Agreement Webinar Announced

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