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DOL Fiduciary Duty Rule

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 ...
“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 ...
ERISA fiduciaries can make investment decisions that reflect climate change and other ESG considerations, including climate-related financial risk, and choose economically targeted investments selected, in ...
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 ...
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