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Tag "Fiduciary Rule"

New Fiduciary Role: What Happens When the Retirement Honeymoon is Over?

    New Fiduciary Role: What Happens When the Retirement Honeymoon is Over?

The financial news media and the investment industry constantly bombards employees with reminders to save for environment. It’s probably the most recognized financial goal people have. Could it be, then, that society has built up an aura around retirement that the anticipation exceeds the actual event?

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Exclusive Interview: Harold Evensky says DOL Fiduciary Opened “Good” Pandora’s Box

    Exclusive Interview: Harold Evensky says DOL Fiduciary Opened “Good” Pandora’s Box

“…the best efforts of those focused on product, not investors, are ultimately doomed to failure.”

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Why Phyllis Borzi is Now Pessimistic On the Plight of a Uniform Fiduciary Standard

    Why Phyllis Borzi is Now Pessimistic On the Plight of a Uniform Fiduciary Standard

“In 5 years, I think investors will be considerably worse off if SEC does go forward with its proposals without substantial change.”

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What Will the Fiduciary Standard Look Like in Five Years?

    What Will the Fiduciary Standard Look Like in Five Years?

Still, if one has confidence the marketplace will drive the industry towards focusing on the best interests of clients, then a de facto fiduciary standard can emerge organically, without overt reliance on regulators.

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The SEC’s “Best Interest” Proposal – A Step Forward or a Set Back?

    The SEC’s “Best Interest” Proposal – A Step Forward or a Set Back?

We asked financial professionals across the nation for their thoughts on the SEC’s effort. As you might imagine, it’s clear Regulation Best Interest has some good points and some not-so-good points.

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FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 8/31/18

    FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 8/31/18

Welcome to FiduciaryNews.com Trending Topics. Each Monday, we’ll give you a quick synopsis of the major news events and trends

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DOL Fiduciary Rule Post-Mortem: How Long Will the Taste Linger?

    DOL Fiduciary Rule Post-Mortem: How Long Will the Taste Linger?

Is the DOL’s Defunct Rule a Fiduciary Obi-Wan: More Powerful Dead Than Alive?

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Exclusive Interview: MoneyTrack’s Pam Krueger Says It’s Time for Industry and Regulators to “Pick a Lane”

    Exclusive Interview: MoneyTrack’s Pam Krueger Says It’s Time for Industry and Regulators to “Pick a Lane”

“Pick a lane… please. Why is the SEC living in the land of ambiguity? Lead, follow, or step aside. I may not agree with Ken Fisher very often but on this point, I believe he nailed it…”

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FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 8/3/18

    FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 8/3/18

In an otherwise quiet week, does anyone else think it strange that a whole slew of articles came out on this one particular topic?

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5 Examples of Self-Dealing Transactions that are Prohibited as a Result of Fiduciary Duty

    5 Examples of Self-Dealing Transactions that are Prohibited as a Result of Fiduciary Duty

While the fiduciary should be fairly compensated, the fiduciary is prohibited from engaging in activities that might increase that compensation to the detriment of the interests of the beneficiary. Such activities represent the definition of a self-dealing transactions. Here are some examples of self-dealing transactions that, if executed, will likely result in a fiduciary breach.

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