Legislative & Regulatory Corner

Keeping you informed on the latest proposals and regulations, and their impact on your business.

Defining Fiduciary – DOL & SEC

May 2018

On April 18, 2018, the SEC revealed a package of regulatory proposals for the standard of conduct applicable to investment professionals. We hosted leading legislative experts Thomas Clark, Partner, Wagner Law Group and Michael L. Hadley, Partner, Davis & Harman LLP for an interactive discussion around the latest initiative from Washington.

On-Demand Webinar



Retirement Plan Implications – DOL & RESA

April 2018

Some new developments in Washington and recent court rulings have implications for those saving and investing for retirement. Our team examines the status of the Retirement Enhancement and Savings Act (RESA) and what it might mean for both plan sponsors and participants. They also recap the latest court rulings impacting the Department of Labor’s Fiduciary Rule.

Blog post


US Tax Reform

December 2017

Congress successfully passed sweeping changes to US tax policy, which President Trump signed into law in December. We were pleased that our current retirement savings system was left largely intact, but caution that this tax legislation still has some open items. Our team outlines a few areas of interest to investors in the legislation as it stands today.

Blog post