Don’t Sleep on Reg BI Compliance, Industry Officials Warn
ThinkAdvisorJanuary 24, 2020
Despite legal challenges, the obligations Reg BI imposes on financial firms “are real and immediate,” says Bates Research.
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Broadridge Completes Acquisition of Fi360
Broadridge Financial Solutions, Inc.November 04, 2019
Acquisition provides advisors with fiduciary tools and Reg BI support, and expands data and analytics capabilities for asset managers
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Broadridge Acquisition of Fi360 Underlines RIA Fiduciary Evolution
PLANADVISEROctober 14, 2019
Leading up to its own acquisition by the larger Broadridge organization, Fi360 had been actively acquiring other fiduciary solutions firms, aiming to build a comprehensive suite of RIA services.
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The 20 Best Conferences For Financial Advisors To Choose From In 2020
Nerd's Eye ViewOctober 14, 2019
Who Should Attend [the Fi360 Conference]: Financial advisors who specialize in working with qualified plans as fiduciaries (or want to learn to do so), or those who generally want to deepen their knowledge of real processes and systems to fulfill their fiduciary duty.
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Broadridge to Expand Fiduciary and Reg BI Solutions for Wealth and Retirement Industry With Acquisition of Fi360
Fi360October 10, 2019
New solutions will enable wealth advisors and intermediaries to grow their businesses while increasing fiduciary oversight
Suite also grows Broadridge’s data and analytics capabilities for asset managers
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401(k) Lawsuits Get More Complex
InvestmentNewsOctober 02, 2019
Lawsuits targeting 401(k) plan sponsors increasingly involve issues that are complex and granular. It's a trend that's likely to continue as such litigation proliferates and one that some advisers and attorneys fear may leave employers paralyzed when it comes to retirement plan design.
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