Ken Joseph Quoted in Planadviser

Managing Director Ken Joseph, in the Disputes and Investigations practice, was quoted in a Planadviser article titled "Reg BI Could Make It Easier for B/Ds to Compete With Retirement Plan Advisers".

Experts say the new SEC rules could allow brokers to encroach into the traditional territory of advisers without having to meet the same fiduciary standard of care. Generally speaking, the new Regulation Best Interest (Reg BI) rulemaking package that the Securities and Exchange Commission voted to approve last week does not introduce new fiduciary responsibilities for those advisers controlling retirement plan assets. This is because the Employee Retirement Income Security Act (ERISA) already holds retirement plan advisers to high fiduciary standards, Amy Oullette, director of retirement services at Betterment for Business, tells Planadviser.

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