| Similar Articles |
 |
Registered Rep. October 1, 2006 John Churchill |
Deciphering the Rules of Retirement Advice Title VI of the the Pension Protection Act, far from being a clear-cut signal for reps to dive into the retirement advice business, does, however, open the door wider to advice giving.  |
Financial Planning January 5, 2008 Elizabeth O'Brien |
The New Fiduciaries LPL and Fiduciary360 educate advisors on retirement consulting in the Pension Protection Act of 2006 era.  |
Financial Advisor May 2008 Marla Brill |
Under Pressure Financial advisors who provide services to businesses with 401(k) plans governed by the Employee Retirement Income Security Act have a new reason to review fiduciary practices and double-check professional liability insurance.  |
On Wall Street September 1, 2012 Elizabeth Wine |
Financial Advisors Turn to the 401(k) Market for More Business Advisors look to 401(k) plans as fertile ground for business.  |
Registered Rep. March 16, 2012 Kristen French |
Wire Houses Minting Fiduciary Advisors -- Or Are They? None of the firms will go on record as to whom specifically in the rank and file is adopting the standard, nor will they provide much detail on what that training looks like.  |
Registered Rep. November 1, 2005 Kristen French |
Trolling for 401(k) Treasure Congress is expected to enact new pension legislation that would make it easier for financial advisors to work with participants in company retirement programs.  |
Financial Planning April 1, 2012 Donna Mitchell |
The BIG Fix Familiar as 401(k)s are, planners love to hate them, and they'll readily cite long lists of faults with the plans themselves, as well as the way the $2.8 trillion 401(k) industry operates.  |
On Wall Street March 1, 2010 Bo Bohanan |
Do You Really Want To Be A 401(k) Consultant? It is fairly easy to spot the advantages and opportunities of working in this marketplace. But, not all of the pitfalls are as evident.  |
On Wall Street April 1, 2010 Trone & Harvey |
Are The Retirement Waters Now Murkier? A 40-page document of new regulations from the Department of Labor sets out to ease the challenges of offering investment advice to retirement plan participants and to lessen any conflicts of interest.  |
Investment Advisor April 2007 James J. Green |
Retirement Planning Balancing Act Being a financial advisor who focuses on selling and servicing corporate 401(k) plans is a matter of balance.  |
Investment Advisor October 2008 Melanie Waddell |
DOL Floats Advice Proposals The Department of Labor recently announced two proposed rules under the Pension Protection Act designed to make investment advice more accessible for millions of Americans in 401(k)-type plans and individual retirement accounts.  |
Financial Advisor June 2011 Jerilyn Klein Bier |
Tapping 401(k) Opportunities Financial advisors in the 401(k) space are optimistic about future prospects in a shifting regulatory landscape.  |
Registered Rep. July 8, 2010 Michael Stillman |
For 401k Advisors, Comp Models Must Change In the short-term, financial advisors will need to adjust their 401(k) fee arrangements. For the long-term, registered reps may find it necessary to work with -- or become -- registered investment advisors.  |
Financial Advisor May 2007 Ken Ziesenheim |
Diamonds In The Rough The new Pension Protection Act offers opportunities for financial advisors, if you know where to dig.  |
Investment Advisor March 2007 Melanie Waddell |
Leading the Way This year is shaping up into one in which advisors will have to stay compliant with a plethora of retirement planning rules and regs if they expect to stay firmly rooted in the retirement planning arena -- and doing what's best for their clients.  |
Financial Advisor March 2012 Juliette Fairley |
More 401(k) Avenues Demand is increasing for advisors who can help companies with their retirement plans.  |
Financial Advisor June 2010 Stephen K. Davis |
What To Do About The 401(k) How do we bring better investment success to the 401(k)? For one, participants need help from financial advisors.  |
Financial Advisor December 2003 Jeff Schlegel |
Qualified Plans Rock Through Bear Market The rising demand for advice is changing the 401(k) business.  |
Investment Advisor May 2007 |
That's Not How I Read PPA Letters to the editor: DOL Requires More Due Diligence for 401(k) Advisors... You say adviser, we say advisor... Corrections...  |
Financial Planning November 1, 2006 Bob Veres |
Fiduciary Fire Index At the start of the new year, the Pension Protection Act will go into effect and expose all over again the fact that, although we all like to talk about fiduciary standards, there really isn't any consistent definition of the term.  |
Investment Advisor December 2009 |
Walking the Fiduciary Line on Retirement Retirement plans and their participants may need to use separate advisors who are separate fiduciaries, devoid of the potential for conflicts.  |
Financial Planning September 1, 2013 Ilana Polyak |
For Advisors, a Big 401(k) Opportunity As regulatory scrutiny of plans increases, advisors are in the sweet spot to capture new business.  |
Financial Advisor November 2011 Jerilyn Klein Bier |
Best-Laid Plans Advisors who've built substantial 401(k) practices share their strategies.  |
Financial Advisor December 2005 Raymond Fazzi |
Into The Black Hole Of 401(k) Consulting Advisors find that the need on the part of both sponsors and participants for professional and unbiased advice regarding 401(k) asset allocation and management is great.  |
Investment Advisor October 2006 Melanie Waddell |
Catching up with... An interview with Tom Grzymala, a former RIA and Accredited Investment Fiduciary Auditor about ensuring those advisors who proffer advice are living up to fiduciary standards.  |
Investment Advisor February 2007 Savita Iyer |
Taking Advantage of the Pension Protection Act Financial advisors need to understand fully what the Pension Protection Act means and how it pertains to their business.  |
Investment Advisor March 2008 Melanie Waddell |
Figuring Out Fiduciary What, exactly, does fiduciary advisor mean? How can an advisor know for sure if he's fulfilling his fiduciary obligations? Are there any real guidelines?  |
Financial Planning November 1, 2010 Trone & Harvey |
The New Rules of the Road The following four regulatory reforms will likely have the most impact on the financial services industry over the next 24 months. Here's a short synopsis of what they will require.  |
Registered Rep. May 1, 2007 |
The Great Reckoning Whatever the specific business impact the Merrill Lynch ruling may have, many see the return to pre-1999 rules as a chance for the brokerage industry, which has long avoided fiduciary duty for business and regulatory reasons, to overcome those obstacles and embrace it.  |
Financial Advisor December 2009 Mary Rowland |
Rough Road The rules on providing investment advice to 401(k) plan participants have been shifting, and the end of the controversy is not in sight.  |
Investment Advisor February 2007 Melanie Waddell |
Clear Road Ahead Commonwealth's retirement platform, Preferred Portfolio Services Retirement Solutions, keeps financial advisors compliant with ERISA and PPA.  |
Investment Advisor January 2007 Ken Ziesenheim |
The Other Fiduciary Issue Many members of company retirement plan investment committees are not fully aware of the nature of their fiduciary responsibilities.  |
Financial Planning September 1, 2006 David Liebrock |
Mining 401(k) Gold Small- and mid-sized companies are looking for help with their retirement plans. Here's how to reach out to this untapped market.  |
Registered Rep. December 1, 2006 John Churchill |
Of Two Minds An internecine argument at the FPA gets to the heart of one of the industry's more vexing problems: Should brokers be able to position themselves as financial planners?  |
Financial Advisor August 2007 Eric Rasmussen |
A Velvet Niche National Retirement Partners Inc. is a consortium that is dedicated to retirement plans and their regulatory needs. Some advisors have decided to stop competing with them and have joined them instead.  |
Financial Advisor November 2012 Jerilyn Klein Bier |
No More Secrets New 401(k) fee disclosure rules could generate big opportunities for advisors.  |
Registered Rep. April 1, 2013 Diana Britton |
The New Face of The Fiduciary Just when the industry thought it didn't have to worry about the DOL, the agency has made it clear that its fiduciary standard is imminent. For registered reps and RIAs alike, it could change the game.  |
Financial Advisor December 2008 Janet Aschkenasy |
Who Discloses What? New regulations clarify the duties of qualified retirement plan fiduciaries and advisors.  |
Registered Rep. July 24, 2012 Jerry Gleeson |
Fee Disclosure - Can You Handle the Truth? New federal rules are forcing advisors to spell out what they're charging for running 401(k) plans and what their clients are getting for the money. It could lead to some difficult conversations.  |
Investment Advisor March 2007 Saxon & Breyfogle |
DOL Issues Favorable New Guidance on PPA "Investment Advice" Provisions The Department of Labor's Field Assistance Bulletin resolves some of the uncertainties created by the PPA and creates a new option for service providers that wish to provide investment advice without fee offsets or reliance on computer models.  |
Financial Advisor September 2012 Jeff Schlegel |
Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds.  |
Registered Rep. June 30, 2010 Christina Mucciolo |
Clients, though Mostly Satisfied, in the Dark about FA Fees, Says Study Overall advisors and investors are still confused about what the advisors' fiduciary responsibility is exactly.  |
CFO December 1, 2009 Randy Myers |
A Question of Balance The much-maligned 401(k) plan is being beefed up. So are the penalties for failing to manage it well.  |
Investment Advisor March 2008 Melanie Waddell |
Focus! There's plenty to think about when doing retirement planning for clients; read on for the priorities that you should be doing something about, right now.  |
Registered Rep. June 3, 2010 Kristen French |
For Fiduciaries, Fee Monitoring Gets More Scrutiny Advisors who act as fiduciaries have to keep a closer watch over fees and expenses than ever before.  |
Investment Advisor September 2010 James J. Green |
Making the Connection: Communicating with Clients in Uncertain Times A panel of three top RIAs explains how they communicate with their clients in good times and bad, with a focus on the fiduciary issue  |
Investment Advisor September 2008 Robert F. Keane |
Far From Retired Tony Purpero thought he was headed into retirement when he returned to southern California, but instead finds himself working harder than ever to help other current and future retirees.  |
Financial Planning July 1, 2013 Glenn G. Kautt |
For Fiduciary Advisors, the Courts Are Watching For fiduciary advisors, a decision by federal judges finding mismanagement of a company s 401(k) plan could have far-reaching consequences.  |
CFO May 8, 2006 Randy Myers |
Drawing a Bead on Cost A clearer picture of 401(k) plan fees is helping more plan providers drive down costs.  |
Financial Advisor December 2004 Tracey Longo |
The Doctor Is In Advisor Gregory Kasten, a former anesthesiologist, has built a rare fiduciary practice in the 401(k) market.  |