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DOL - A Strategic Plan

Posted by Steve Distante on 5/6/16 1:26 PM
 
 

I am on a flight on my way back from the 2016 WinOPS User Groups Conference in Denver for a group of BD Operations and Compliance professionals where I was invited to speak on a panel with Industry Titans, John Simmers (former CEO of the ING Advisor Network with more than 8,500 registered representatives) and Jane Reilly (President of NSCP) about the current state of DOL and what we should be doing.

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Topics: Financial Advising, Department of Labor, Retirement Planning

DOL Fiduciary Rule and The Law Of Unintended Consequences

Posted by Steve Distante on 1/22/16 12:31 PM

Would you ever consider volunteering to be a crash test dummy? Of course not, but the DOL is proposing many people do that with their retirement plans.  Brace for impact if this rule goes through, it could cause a lot of damage that is unforeseen and short sighted.

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Topics: Department of Labor, Retirement Planning, Broker Dealer

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