Additional DOL fiduciary pitfalls to avoid

September 20, 2016 by Ed McCarthy

Many registered investment advisors (RIAs) breathed a sigh of relief after the Department of Labor (DOL) issued its fiduciary ruling. While the new rules certainly fall less heavily on RIAs, they are not off the hook for potential compliance problems, particularly when it comes to IRA rollovers.

I recently spoke at length with Jason Roberts, an attorney and founder of the Pension Resource Institute in Manhattan Beach, California, about several potential exposures.

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Originally Posted at LifeHealthPro on September 19, 2016 by Ed McCarthy.