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Ultimately, this is a complex question that only the courts or arbitration boards can resolve. Still, you'll want to be familiar with the definition of fiduciary status so that you can better fulfill your obligations and aspire to a higher standard of client care.
The threat of fiduciary liability has kept business owners from providing professional investment advice to their employees. A new DOL ruling, however, greatly reduces this obstacle for both advisors and plan participants.
Retirement plan participants need more than cursory training to invest wisely, but straight advice could open you up to liability down the line. Here are some tips for integrating advice with education—without putting yourself at great risk.
Volatile market performance and increased scrutiny are leading many employers to consider changing retirement plans. To win their business, you need a thorough profiling procedure, practical insights into their problems, and a zealous commitment to service.
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Social Security and Medicare Workshop
With Elaine Floyd, CFP®
May 12–15, 2025
The Discovery Meeting Workshop: Transform Your Discovery Process
May 19–20, 2025