Month: June 2017

Exclusive Interview with Charles Field: Less Restrictive Open 401k MEPs Relieve Some Burdens for Smaller Employers

Posted June 20th, 2017 by .

Categories: News.

As it appeared on FiduciaryNews.com Charles H. Field is a partner in the San Diego office of national law firm Sanford Heisler Sharp, LLP and co-chair of the firm’s Financial Services Litigation practice. Charles has been practicing in the securities law area for more than 28 years, and his current practice focuses on protecting the […]

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How the DOL’s Fiduciary Rule Affects Ordinary Clients

Posted June 13th, 2017 by .

Categories: News.

As it appeared insurancenewsnet.com By Brian O’Connell The DOL Fiduciary Rule is at least partially now in effect, and, until now, the overarching question has focused how the new rule will impact financial advisors. But hold the phone – shouldn’t the real question be how the new rule impacts the ordinary investor? The answer to […]

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How much will reasonable compensation be come June 9?

Posted June 7th, 2017 by .

Categories: News.

As it appeared on benefitspro.com As deadline comes for fiduciary rule, at this point ‘nobody knows’: plaintiffs’ attorney BY NICK THORNTON Come midnight this Friday, anyone advising IRA account holders, and most of the country’s 401(k) plans, will have to operate under the fiduciary rule’s impartial conduct standards. The June 9 requirement is, of course, […]

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What’s the Immediate Impact of the DOL Fiduciary Rule on 401k Plan Sponsors?

Posted June 6th, 2017 by .

Categories: News.

As it appeared in FiduciaryNews.com by Christopher Carosa, CTFA The time has come for the DOL’s Conflict-of-Interest (a.k.a., “Fiduciary”) Rule to transition from theory to practice. Well, sort of. Although implemented, it won’t be enforced until early next year. Still, although without the teeth of enforcement, it’s formal implementation will have an immediate impact on […]

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The Fiduciary Rule Goes Live at Long Last

Posted June 2nd, 2017 by .

Categories: News.

As it appeared on Barron’s The DOL rule that advisors act in their clients’ best interest is moving forward; widespread adoption is expected. By Cheryl Winokur Munk A few years ago, the fiduciary concept was virtually unknown among many investors. Now, however, it has taken center stage, and many industry watchers believe there’s no turning […]

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California Financial Elder Abuse Statute – A Powerful Weapon for California’s Seniors

Posted June 1st, 2017 by .

Categories: Investment Fraud.

Click here to read the Chinese version of this post America’s population is aging. As people age, their mental faculties can diminish. They can become isolated, dependent, and frightened.  Seniors who accumulated wealth over their lifetimes become attractive targets for unscrupulous people who prey on their vulnerabilities. It generally begins rather simply. A senior citizen […]

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