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DOL Fiduciary Duty Rule

The DOL will begin enforcing the exemption Dec. 20th and having such documentation goes a long way to prove you’re in compliance
Be sure also by the December date to be giving ERISA clients a written statement as to why a rollover serves their best interests
A CCO peer shares the adviser's rollover form, which comes in a fill-in-the-blanks format
This form can help you to document rollovers
Private funds hoping to court pension plan managers can use indirect measures as a proxy for daily valuations, a new white paper from Washington trade ...
In a final act under the Trump Administration related to its fiduciary duty rules, the Department of Labor finalized an ERISA exemption aimed at investment ...
Pension plan fiduciaries don’t have to cast every one of their clients’ proxy votes but whatever decision they make must be made “prudently and solely ...
"As ESG investing has increased, it has engendered important and substantial questions with numerous observers identifying a lack of precision and consistency in the marketplace ...
The Department of Labor has quietly updated ERISA rules to require private pension plan fiduciaries to put financial returns ahead of sustainable goals in investing, ...
The DOL’s proposal would mandate firms conduct an annual review. The IAA argued this requirement would be redundant given the Advisers Act’s similar mandate
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