Beyond Bulls & Bears

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Education

In the Know: A Q&A on the Latest DOL Fiduciary Rule & SEC Proposal Developments

To say activity in Washington is being closely followed would be an understatement, with the consensus view that the Department of Labor’s Fiduciary Rule is all but officially vacated, and a recent proposal from the Securities and Exchange Commission (SEC) is in the middle of a 90-day comment period. Yaqub Ahmed, senior vice president and head of Defined Contribution – US at Franklin Templeton, leads a discussion on the latest developments with attorney Michael Hadley, partner with Davis and Harman LLP. They outline the SEC proposal and how it might impact financial advisors and their clients.

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Education

Implications of DOL Fiduciary Rule Decisions and RESA Legislation

Some new developments in Washington and recent court rulings have implications for those saving and investing for retirement. Drew Carrington, head of Institutional Defined Contribution at Franklin Templeton Investments along with Michael Doshier, head of retirement marketing, examine the status of The Retirement Enhancement and Savings Act (RESA) and what it might mean for both plan sponsors and participants, and recap the latest court rulings impacting the Department of Labor’s Fiduciary Rule.

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Education

DOL Fiduciary Rule Still in Limbo After Latest Court Ruling

"Recent court activity appears to be creating more uncertainty around the future of the [DOL Fiduciary] rule than ever. Most financial institutions have adjusted business practices to mitigate litigation risk and moved to a model in which they are in compliance, so it would be far from simple to unravel what’s already been done.” - Dan O’Lear, Yaqub Ahmed, Drew Carrington and Michael Doshier