The reasons behind possibly extending account alternatives to public companies are different from when those alternatives were extended to private companies, and they are not the right reasons. Read more
The future of the DOL rule is somewhat uncertain, but the changes probably won’t happen fast and the rule may actually already be established.
Categories: Fiduciary Duty; Standards, Ethics, and Regulations (SER) Read more
A survey of what investors want revealed a gap between what investors expect from their advisers and what advisers are delivering. Strong communication with clients is key in closing the gap. Read more
Will lawsuits delay implementation of DOL’s fiduciary rule to address conflicts of interest in retirement advice? Why is rule still so politically charged? What hard choices face investors, lawmakers? Read more
With its impressive findings, a 60% to 70% drop in filers’ errors, the DQC hopes more companies will use its validation rules to prevent or spot variations or errors in XBRL data filed with the SEC. Read more
IAC’s Kurt Schacht: “For too long, the fixed-income market has had a veil … around fees, bid-offer spreads, and [broker/dealer] mark-ups. Retail investors in particular are looking for some sunshine.” Read more