Category Archives: Investment Policy Statement

New Fiduciary Rule Proposed By Labor Department Designed to Bolster Financial Advisor Fiduciary Responsibilities

The recent Department of Labor (DOL) proposed rule changes for financial advisors who provide investment advice to qualified pensions plan are intended to bolster the standards of care for investors. The new rules are intended to expand the definition of a fiduciary under the 1974 Employee Retirement Income Security Act (ERISA). The new fiduciary standard…

Most individuals seem perplexed about their investments when they discuss the notion of risk. Not knowing how to respond, many investors seem to relate to risk on an emotional level. Many financial advisors try to express risk to clients in terms of acceptable levels of loss in percentage terms, while others try to measure risk…

How Can Today’s Technology Transform Your Financial Life?

For investors who can remember rotary phones, mimeograph machines and switchboard operators, they most likely are unaware of how today’s technology can transform their financial life. For that matter, the vast majority of investors are stuck in what has proven to be the arduous task of keeping up with all of their banking, lending…

Fiduciary Duties Managing Pension Assets within a Self-Directed Brokerage Account

It is natural to expect pension plan participants to seek financial advice concerning one of their largest financial assets. How can a financial advisor help provide financial advice and what responsibilities are owed according to the Employee Retirement Income Security Act of 1974 (ERISA) for their recommendations to pension plan participants. A financial advisor can provide…

Category Archives: Investment Policy Statement

New Fiduciary Rule Proposed By Labor Department Designed to Bolster Financial Advisor Fiduciary Responsibilities

What Risks Do Investors Face in 2015?

How Can Today’s Technology Transform Your Financial Life?

Fiduciary Duties Managing Pension Assets within a Self-Directed Brokerage Account

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