Prune your lineup to keep potential conflicts out of client portfolios.
Be ready to explain why.
Adapt proposals to show investors the thought process behind decisions and how every investment is part of a long-term plan.
Coach advisors through
Make sure they understand their new fiduciary responsibilities and how they should discuss these changes with their clients.
Reduce your risk
by eliminating conflicts.
Point small plan sponsors toward an independent fiduciary service to manage fund lineup design and help choose a record keeper for their retirement accounts.
Trends We See Accelerating
Three ways the fiduciary rule is speeding up industry-wide change.
Accounts becoming fee-based
Stricter rules around “conflicted compensation” will fast-track the movement from commission-based to fee-based accounts.
Popularity of low-cost investments
High fees will impact the cost effectiveness of some investments, paving the way for low-cost providers and exchange-traded funds.
Adoption of robo-advice
Compliance expense could eat into the margins of advisors who manage low-balance portfolios, leading to increased adoption of automated advice systems for new investors.
Countdown to April: How to Prepare for the Fiduciary Rule
The deadline for brokerage firms to ready advisors for the first phase of the fiduciary rule is on April 10. Learn how a methodical approach to compliance can help your chances of meeting the deadline with time to spare.
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Fiduciary Rule Mistakes We've Heard From Advisors
There are misconceptions out there when it comes to the new fiduciary rule and independent registered investment advisors. Here are the big ones.
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How the DOL is Changing Asset Management
What asset managers should be thinking about as the DOL fiduciary rule changes the investment industry from a suitability standard to a fiduciary standard.
Need Help Complying with the DOL Fiduciary Rule?
Whether you need help selecting investments, writing new contracts, or educating your team, we are ready to help you comply with the new rule. Let us help make sure you are ready.
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