Library

Spotlights » Menu Design Matters

December 11, 2017 | Fiduciary

With additional fiduciary scrutiny and an increase in litigation, it's more important than ever to offer a retirement plan menu that meets the needs of all participants. To be confident in their plan decisions, we believe plan sponsors should design their investment menu based on participant …

Nicholas Cintineo, CIPM®

Senior Investment Consultant

Endowments & Foundations » Documentation: A Simple Step to Strengthen Fiduciary Oversight

May 19, 2017 | Fiduciary

Documentation is a simple but often overlooked aspect of a successful endowment or foundation. Not only is it a way to record processes and procedures, but it’s also closely related to the duties of care and obedience that each fiduciary in an organization is bound to. It’s important for …

Shelby George

Senior Vice President, Advisor Services

Library » 3 Influencers Driving Today’s Fiduciary Best Practices

November 21, 2016 | Fiduciary

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 » 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 …

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 » Converge, Volume 10: DOL Encourages Participant Education

May 20, 2016 | Fiduciary

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 …


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