Fiduciary Issues



Fiduciary Rule is a Go

The Fiduciary Rule will go into partial effect on June 9th without further delay.

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Fidelity’s Approach to DOL

This is the link to an article in which Philip Chao is quoted regarding Fidelity's approach to the new Fiduciary Rule.

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Fiduciary Rule Delay 60-days

As expected, the DoL has issued the 60-day extension to the application of the Fiduciary Rule just in time before the new rule’s April 10th application date. This writing offers a pre-release copy of the extension.

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Northern District of Texas Judge Favors DOL Rule 2/8/2017

Chief Judge Barbara Lynn of the Northern District of Texas granted motion for summary judgment in favor of the Fiduciary Rule and BICE.

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Fiduciary Rule – A Never Ending Saga

President Trump has instructed the Secretary of the DOL to rescind or revise the fiduciary rule after conducting an impact study. We have laid out where we go from here.

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DOL FAQ 2 – Conflict of Interest

Here is the updated FAQ released by the DOL on their conflict of interest rule.

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FAQ – Consumer Protections for Retirement Investors

Here is the updated FAQ document from the DOL regarding its Conflict of Interest Rule.

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“Reasonable” is the right fiduciary approach to controlling plan expenses

With the DOL‘s new fiduciary rule and the introduction of the Best Interest Contract prohibitive transaction exemption, questions have arisen regarding the definition of "reasonableness" when a fiduciary deals with plan fees and costs.

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The DOL issues the first Best Interests FAQs

Here is the DOL's FAQs document on the new conflicts of interest rule.

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Wells Fargo Can’t Spell “Fiduciary”

This article goes into detail regarding Wells Fargo's SEC violations and abusive fiduciary practices.

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