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Recent Insights

Capturing Rollovers: A Changing Environment

Recent developments suggest that FINRA, the SEC and the DOL are working together…or, perhaps, have independently reached the same conclusions.

In the past few months,...

Investment Policy Statement: Friend or Enemy

The ABB case has been thoroughly analyzed and widely discussed. Most of that analysis and discussion, though, has been about expenses and revenue sharing....

Target Date Retirement Funds–Tips for ERISA Plan Fiduciaries

In my last post—about the selection and monitoring of target date funds (TDFs), I said that I would also discuss the DOL’s recent guidance...