◀ The Principal Blog

Posts from the ‘Legislation & Regulation’ category

Setting expectations with clients post DOL fiduciary regulatory package

As you envision becoming an ERISA fiduciary, I’d encourage you to start thinking about setting expectations with your retirement plan clients sooner rather than later. Why? Well, I’m guessing you and your clients will want to know: How, and to what extent, you’ll provide investment advice How…

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Breaking down the DOL fiduciary regulation: How will fiduciaries get paid?

By now, I hope you understand how the DOL fiduciary regulatory package has changed the activities that make you a fiduciary under the Employer Retirement Security Income Act (ERISA). But what does that really mean for you and your practice? For starters, you’ll want to understand what activities…

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