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The DOL’s proposed change to IRA fiduciary regulations could weigh the heaviest on small IRA account holders.

The Department of Labor has proposed changing a law that dates back to 1975. In essence, the new regulation would expand the meaning of the term “fiduciary” to include those who handle IRAs. The 1975 definition was outlined in the …Read More

Alternative Dispute Resolution

Many types of business insurance—particularly professional liability insurance policies—are designed to provide financial and legal assistance in the event of a lawsuit. However, there are other methods of resolving disputes that stop short of lawsuits, and many insurers offer incentives …Read More

Intro to Business Owners Policies

One of the types of insurance policies Lockton Professional offers that is handy for the majority of CPAs, RIAs, attorneys and other professionals with small to medium-sized businesses is a Business Owners Policy (BOP). These policies represent several types of …Read More

What Are ERISA Bonds?

Lockton Professional offers Employment Retirement Income Security Act (ERISA) bonds for RIAs and other financial professionals. But do you know their history and purpose? The Employment Retirement Income Security Act is a federal law that dates back to 1974. It …Read More