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The agency will release 'quite a bit of guidance' to help with compliance with the new IA ad rule 'between now and the November compliance ...
A peer shares a document that can aid an adviser in deciding whether to advise a client to rollover his assets into an adviser-managed IRA
If the previous administration flashed a red light at ERISA plans’ investment managers’ enthusiasm for ESG, the new proposal turns it green in more ways ...
The DOL has stated that it will begin enforcing at the end of this month whether ERISA fiduciaries are following the department’s five-year-old impartial conduct ...
"I wouldn’t be surprised if there weren’t some litigation that comes out of it if DOL tries to get involved in the IRA space. I ...
RCW interviews Rachel Mayo, associate general counsel at Stephens Investment Management Group in Little Rock, Ark., and a former Labor Department official, about what advisers ...
Two words of caution about vendors: they can be very expensive and “the accuracy of the data and whether or not it’s current”
Some advisers err because their reps write inadequate comments, such as “the client prefers to stay with me”
The SEC is scheduled to publish proposed new rules on ESG metrics any day now, but neither registered investment advisers nor private fund advisers must ...
“While some believe they will be ready by the [Dec. 21st] deadline with fully operational systems, others believe more time is necessary,” reads the DOL’s ...
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