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  • ‘Tsunami’ of Rollovers Troubles Borzi as SEC Debates New Regs

    November 12, 2018 by James J. Green

    The author of the Labor Department’s fiduciary standard, now vacated by a federal court, believes the Securities and Exchange Commission’s best-interest initiatives are “terrific” steps forward in protecting investors. But Phyllis Borzi also worries about the “virtual tsunami” of retirees who are rolling over their ERISA-protected 401(k) assets while regulators determine the best way to protect those investors.

    “It concerns me that the SEC is not addressing rollovers” in its deliberations, Borzi said, adding that consumers who “know best” their retirement plan recordkeepers, many of which have proprietary products, may not be making the most informed choices on where to roll over their retirement assets.

    Moreover, she worries that financial services providers who had been “far along in complying” with Labor’s fiduciary standard “have started to roll back” those fiduciary-friendly approaches to the possible detriment of consumers.

    Borzi was speaking at a virtual press conference called by the Institute for the Fiduciary Standard, whose speakers included institute co-founder Knut Rostad, Geof Brown of the National Association of Personal Financial Planners and Jim Allen, head of capital markets policy for the Americas at the CFA Institute.

    Click HERE to read the full story via ThinkAdvisor.

    Originally Posted at ThinkAdvisor on November 12, 2018 by James J. Green.

    Categories: Industry Articles
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