Financial Services & Wealth Management News

fiduciary liability

February 6, 2019

Hey Joel, What Are The Risks For Late 5500 Filings?

Hey Joel! – Answers from a recovering former practicing ERISA attorney This forum answers plan sponsor questions from all over the country by our in-house former […]
January 29, 2019

DOL’s New Fiduciary Rule & the SEC’s Best Interests Rule – Hopefully they will Intersect

Last March, almost 10 years after the “new” Fiduciary and Best Interest Contract (BIC) rules were first proposed, the Fifth Circuit of the U.S. Court of […]
December 5, 2018

Exchange Your Old Retirement Solutions for New Ones

What is an Exchange? An exchange is a turnkey solution for businesses that allows you to provide the benefit of a retirement plan while offloading some […]
November 5, 2018

Don’t Let Your Retirement Plan Turn from Benefit to Liability

A retirement plan is important to your business — and to all the employees relying on it for income later in life. However, mistakes and confusion […]