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Dissecting TIAA Subsidiary's $97 Million SEC Rollover Settlement
John Manganaro, in planadviserLink to more items from this source
July 19, 2021

"TIAA has agreed to further significant internal reforms, including subjecting all rollover recommendations to a strict fiduciary standard; eliminating differential compensation for sales of managed accounts; eliminating or fully disclosing other adviser conflicts of interests related to recommending managed accounts; using plain language to disclose when advisers are not acting as fiduciaries; and training advisers to offer a fair comparison between managed accounts and employer-sponsored plans."

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