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ComplianceMay 29, 2015

FINRA Updates FAQs on Public Communication Rule

The Financial Industry Regulatory Authority (FINRA) has updated a helpful frequently asked questions (FAQs) section on its website outlining the scope and limits of FINRA Rule 2210, which covers adviser communications with the investing public.

ComplianceMay 29, 2015

Documentation and Deliberation Remain Critical Post-Tibble

“The main impact of Tibble vs. Edison in my view is that it’s a good reminder that plan sponsors need to sharpen their pencils and look once again at the processes they’re using, both for selection and monitoring of investments,” explains Nancy Ross, partner in Mayer Brown’s litigation and dispute resolution practice.

ComplianceMay 29, 2015

DOL Wants More Control over Plan Audits

A new report from the Department of Labor suggests the quality of benefit plan audits performed by certified public accountants is lagging, with major deficiencies found in four of every 10 audits reviewed.


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PLANADVISER Interviews Christen Marsenison

Stephen Moylan, SVP for PLANADVISER, interviews Christen Marsenison, Vice President of Client Services for Envisage Information Systems.

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ProductsMay 27, 2015

Mercer Opens Pension Risk Exchange

In response to the increased demand for pension buyouts Mercer has developed a Pension Risk Exchange to support defined benefit plan sponsors in timing and execution of buyout deals.

Latest Research

April 01, 2015

2015 PLANADVISER Adviser Value Survey

2015 PLANADVISER Adviser Value Survey Alison Cooke Mintzer The influence of advisers on retirement plans Value: the worth, importance or usefulness of something. In the world of retirement plan advisers, the word “value” is often followed by “proposition”—how advisers distinguish themsel


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Data and ResearchMay 27, 2015

Report Dissects the Major DB Plan Expenses

A new survey report from Penbridge Advisors finds the largest expenses paid by defined benefit (DB) plan sponsors are attributable to the broad category of investment management—especially in the areas of alternative investments and active management.

ProductsMay 19, 2015

Wilshire Associates Launches Indexing Solution

Wilshire Associates announced the launch of the “Powered by Wilshire” solution, allowing investment advisers and managers to merge their own index methodology with Wilshire’s index calculation engine and distribution platform.

ComplianceMay 18, 2015

Supreme Court Reaches Decision in Tibble v. Edison

A decision from the Supreme Court of the United States seems to solidify the “ongoing duty to monitor” investments as a fiduciary duty that is separate and distinct from the duty to exercise prudence in selecting investments for use on a defined contribution plan investment menu.