◀ The Principal Blog

Posts from the ‘Legislation & Regulation’ category

Breaking down the DOL fiduciary regulation: What makes you a fiduciary?



There’s no doubt, the DOL fiduciary regulatory package has changed the financial services landscape. Simply put, it redefines the activities that make you a fiduciary under the Employer Retirement Security Income Act (ERISA). If you’re like most advisors, you’ve already spent a lot of time…

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Unwrapping Fiduciary Regulatory Change



Many of my colleagues and I have recently been labeled ‘ERISA nerds’, a title we wear with pride. My career has focused on delving into retirement regulation and how to interpret it. As I look at the new Department of Labor (DOL) fiduciary regulation package, I can’t think of many other times…

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