Department of Labor

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 ...

There are economic consequences to “extreme weather,” which can disrupt “productivity and supply chains.” In addition, “severe droughts, wildfires, and flooding are expected to continue ...

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 ...

Be sure also by the December date to be giving ERISA clients a written statement as to why a rollover serves their best interests