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Fi360 Fiduciary Talk 51: Regulatory Interplay

Posted by on July 17, 2017 in

The DOL struck first in redefining what it means to be a fiduciary today.

Fi360 Fiduciary Talk 51: Regulatory Interplay

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Fi360 Fiduciary Talk 50: SEC Enters Fiduciary Rule Discussion

Posted by on July 17, 2017 in

SEC Chairman Jay Clayton seeks to “engage constructively” with the DOL.

Fi360 Fiduciary Talk 50: SEC Enters Fiduciary Rule Discussion

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Fi360 Fiduciary Talk 49: Moving Forward with Impartial Conduct Standards

Posted by on July 17, 2017 in

The DOL Fiduciary Rule is now officially in effect.

Fi360 Fiduciary Talk 49: Moving Forward with Impartial Conduct Standards

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Fi360 Fiduciary Talk 48: Health Savings Accounts in the Fiduciary Process

Posted by Fi360 on May 15, 2017 in

Fi360 Fiduciary Talk 48: Health Savings Accounts in the Fiduciary Process

Fi360 Fiduciary Talk 48: Health Savings Accounts in the Fiduciary Process

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The June 9 Fiduciary Deadline and Key Issues for Broker-Dealers

Posted by Fred Reish on May 09, 2017 in Fiduciary Basics Fiduciary Excellence In the News Regulatory Update

The new—and very broad—definition of fiduciary advice will apply on June 9. That means that investment recommendations to ERISA plans, participants or IRAs will be fiduciary advice. Broker-dealers and their advisors will, in essence, be co-fiduciaries for providing that advice. As a result, broker-dealers need to develop internal policies, procedures, training and supervision as quickly as possible in order to be in compliance by June 9. The areas of focus should be: Fiduciary education for home office management, supervisory, and sales and marketing personnel. As explained below, some of the fiduciary responsibilities will need to be satisfied by...

The June 9 Fiduciary Deadline and Key Issues for Broker-Dealers

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