Monthly Archives: April 2016

Business Continuity Plan – State Requirements

Just spent the last couple of days at the SSG Conference here in San Diego.  There was a lot of discussion and a panel about Business Continuity/Succession Planning.  I thought it might be helpful to post some minimum requirements for a … Continue reading

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Fiduciary Rule Updates

I have started to read the new DOL Fiduciary Rule, but received Michael Kitces’ Advisors Guide to DOL Fiduciary and the New test Interests Contract BIC Requirement in my email this week. So I began to read his 14 pages to get his take and … Continue reading

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Final DOL Fiduciary Rule

The new rule is contained in seven separate releases.  At its core, the regulatory package is very simple: it requires more retirement investment advisers to put their clients’ best interest first. It does this by closing existing loopholes and expanding … Continue reading

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