Library

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 | Fiduciary

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 …

Nicholas Cintineo

Senior Investment Consultant

Endowments & Foundations » A Knowledgeable Board & Staff is Key to Success

May 25, 2016 | Governance

What makes an endowment or foundation successful? Healthy investment returns? Sensible withdrawal levels? Strong fundraising? All of these are certainly important, but I would argue that there’s a more fundamental requirement for success: knowledgeable and engaged board and staff. It’s the …

Shelby George

Senior Vice President, Advisor Services

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

May 20, 2016 | Fiduciary

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 » 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 | Investment Themes

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 …


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