Library

Shelby George

Senior Vice President, Advisor Services

Library » 3 Influencers Driving Today’s Fiduciary Best Practices

November 21, 2016 | Retirement Plans

As the Department of Labor (DOL) has redefined “investment advice,” they have undoubtedly accelerated the evolution of what it means to be a fiduciary. Regulators are but one of the three key influencers shaping best practices for new fiduciaries. Financial institutions are working aggressively …

Shelby George

Senior Vice President, Advisor Services

Library » Converge, Volume 11: Navigating New Regulations

September 26, 2016 | Retirement Plans

Come April 2017, many financial professionals will find themselves acting as an ERISA-like fiduciary. The new rule broadens the definition of “investment advice” to impose ERISA-like fiduciary obligations on all advisors to qualified retirement plans as well as IRAs and other tax-deferred …

Shelby George

Senior Vice President, Advisor Services

Library » Converge, Volume 11: Managing Litigation Risk

September 26, 2016 | Retirement Plans

The threat of a lawsuit is scary. With a new class action filing making headlines daily, many plan fiduciaries think they could be next. Unfortunately, too many fiduciaries try to pacify litigation fears by focusing on allegedly poor plan decisions cited in the headlines. Often the result is …

Shelby George

Senior Vice President, Advisor Services

Library » DOL’s Fiduciary Rule Poses New Litigation Threat to IRA Advice

August 15, 2016 | Retirement Plans

401(k) lawsuits have been a large topic of conversation in the retirement planning space, however the conversation is starting to take a different shape with the DOL’s Fiduciary Rule. Financial advisors working with individual investors need to take note since the Fiduciary Rule holds financial …

Shelby George

Senior Vice President, Advisor Services

Library » Converge, Volume 10: Best Practices in a New Regulatory Environment

May 20, 2016 | Retirement Plans

A new wave of 401(k) litigation and the Department of Labor’s (DOL) impending conflict of interest regulations has the retirement industry aflutter. With so much activity in the realm of “fiduciary best practices,” it is difficult to keep track of what has changed and what has remained the same. …

Shelby George

Senior Vice President, Advisor Services

Library » Converge, Volume 10: DOL Encourages Participant Education

May 20, 2016 | Retirement Plans

The widely anticipated final fiduciary rule from the Department of Labor (DOL) is here. As expected, the rule broadly expands the definition of fiduciary investment advice but provides welcome flexibility for providing general education materials to participants without triggering fiduciary …

Shelby George

Senior Vice President, Advisor Services

Library » Regulatory FAQ: “Final” Agency Rules Issued After Mid-May, 2016, Might Not Be So Final

April 06, 2016 | Retirement Plans

If the political balance of power changes in 2017, what can be done to reverse Obama Administration agency regulations? An obscure parliamentary mechanism called the Congressional Review Act (CRA) may enable the 2017 Congress and President to overturn final regulations they don’t like . . . but …

Shelby George

Senior Vice President, Advisor Services

Library » Fixed Income Literacy

April 05, 2016 | Fixed Income

Fixed income can be a daunting topic for even the savviest of investors. So it is no surprise that a recent Edward Jones survey found that 63% of Americans "don't know" how rising rates will affect their portfolios, while another 24% feel "completely in the dark." Many plan sponsors feel the …

Shelby George

Senior Vice President, Advisor Services

Library » Converge, Volume 8: The DOL’s Proposed Fiduciary Rule

November 30, 2015 | Retirement Plans

There has been plenty of industry chatter deconstructing the Department of Labor’s (DOL) proposed rule defining who is a “fiduciary” of an employee benefit plan under the Employee Retirement Income Security Act of 1974 (ERISA) as a result of giving investment advice. Much of the industry …

Shelby George

Senior Vice President, Advisor Services

Library » Converge, Volume 5: Unlocking the Potential of HSAs

February 09, 2015 | Retirement Plans

More and more individuals cite health care costs in retirement as a top concern, and an area where they need help with planning. Advisors who have the tools to help navigate this complicated topic may be in a strong position to assist their clients with preparing for a secure retirement. In …


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