A ‘sea change' may be coming for investment advice about 401(k)-to-IRA rollovers, one expert says

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The Labor Department proposed a rule to raise protections around investment advice for retirement savers. Rollovers to IRAs will be most impacted, experts said.

Rollovers from 401 plans to IRAs will be most affected by a recent U.S. Department of Labor proposal to raise protections for retirement advice, legal experts said.The Labor Department is concerned financial conflicts cause brokers to give investment advice that's not in customers' best interests. Critics say the current regime provides adequate protection.

"ERISA fiduciary duties are the highest fiduciary duties under U.S. law," said Josh Lichtenstein, partner at law firm Ropes & Gray. That advice typically generates compensation like a commission for the broker or agent, and the Labor Department is concerned those incentives may bias recommendations for certain investments that pay them more but aren't in an investor's best interests.that consumers lose up to $5 billion a year just due to conflicted advice to roll money to indexed annuities, a type of insurance product.

 

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A 'sea change' may be coming for investment advice about 401(k)-to-IRA rollovers, one expert saysThe Labor Department proposed a rule to raise protections around investment advice for retirement savers. Rollovers to IRAs will be most impacted, experts said.
Source: CNBC - 🏆 12. / 72 Read more »