Sentences with phrase «fiduciary rule mandates»

The Department of Labor is seemingly contradicting its own words with its fiduciary rule mandates.

Not exact matches

The other requirements of these PTEs, including representations of fiduciary compliance, contracts, warranties about firm's policies and procedures, etc., will not become applicable during the period in which the Department performs the mandated examination of the Rule and PTEs.

Beginning early next year, Morningstar will offer a way for broker - dealers to offload the fiduciary responsibility of managing 401 (k) plans, which is mandated by the DOL rule that starts to take effect in April.

After declaring that 2014 will be the year that the SEC decides whether to move ahead with a rule to put brokers under a fiduciary mandate, Mary Jo White directed SEC staff to compile a list of «all of the potential options» available to the agency that could be used in drafting a fiduciary rule.

For purposes of ERISA and the Department of Labor's fiduciary rule, we are relying on the sophisticated fiduciary exception in marketing our services and products, and nothing herein is intended as fiduciary or impartial investment advice unless it is provided under an existing mandate.