How Will The New DOL Fiduciary Rule Affect Your Business?

More and more advisors are growing concerned about being involved with 401(k) plans.  One of the many issues is the limitation on rollover opportunities due to potential conflicts of interest.  The new DOL fiduciary rule expected to be released sometime in 2016 has made many advisors concerns grow even stronger. 

Fidelis Fiduciary Management addresses many of these concerns by transferring the investment fiduciary spotlight, and thus much or all of the retirement plan investment liability, from the advisor to us.  You can take comfort in knowing that we are one of the small number of firms in the U.S. that holds the coveted CEFEX® certification specifically for 3(38) Investment Management.  

How are you addressing the fiduciary liability issues so you can continue to retain and attract retirement plan clients?

David M. Montgomery, AIF®, CRPS®

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No strategy assures a profit or protect against loss.

The opinions voiced in this material are for general information only and are not intended to provide specific advice or recommendations for any individual.

To determine which investment(s) may be appropriate for you, consult your financial advisor prior to investing.

For Advisors and Plan Service Providers use only — Not for use with Plan Sponsors, Participants, or the General Public. This information was developed as a general guide to educate advisors and plan service providers, but is not intended as authoritative guidance or tax or legal advice. Fidelis Fiduciary Management does not warrant and is not responsible for errors or omissions in the content of this newsletter.