Library

Shelby George

Senior Vice President, Advisor Services

Library » Converge, Volume 13: Fiduciary Fee Reasonableness

March 08, 2017 | Retirement Plans

Fee reasonableness is a fundamental and widely discussed fiduciary topic. Despite the importance of the topic, the Department of Labor (DOL) hasn’t given much insight or guidance as to what is considered a reasonable fee. As a result, much of the interpretation of what is and is not reasonable …

Shelby George

Senior Vice President, Advisor Services

Library » Converge, Volume 12: Trump and the Fiduciary Rule—Managing Uncertainty

December 07, 2016 | Retirement Plans

With Donald Trump named president-elect, a myriad of current policies have been put into question - including the Department of Labor’s Fiduciary Rule. While this rule is not set to take effect until April 2017, there is question as to whether Trump’s election could halt its implementation. …

James Esposito

Qualified Plans Consultant

Library » Converge, Volume 12: What’s New with the Form 5500?

December 07, 2016 | Retirement Plans

The Department of Labor’s (DOL) new conflict of interest rule creates many new administrative requirements and disclosure requirements for fiduciaries. The requirements themselves can be daunting, but so too is the prospect of enforcing compliance. For that, the DOL empowered the plaintiff’s …

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 …

James Esposito

Qualified Plans Consultant

Library » Three Considerations For Small Business Owners When Implementing a Retirement Plan

November 17, 2016 | Retirement Plans

Business owners looking to implement a new qualified retirement plan—like a §401(k) plan or a cash balance plan—for the 2016 calendar year must have the plan document signed by 12/31/2016 for the earliest allowable effective date of 01/01/2016. Here are some important points to consider about …

Spotlights » The Evolutionary Fiduciary

October 27, 2016 | Retirement Plans

Recent changes from the Department of Labor are giving many financial professionals added responsibilities to act as ERISA-like fiduciaries. Shelby George, JD, CEBS breaks down the new rule, its three main influencers, and offers advice on how best to evolve in this new environment.

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 …


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