September 14, 2017
Last Chance for PLANADVISER Top 100 Adviser Consideration
Don’t miss your chance to be included in the 2018 PLANADVISER Top 100 Retirement Plan Advisers! Again this year, in an attempt to minimize the number of surveys we ask you to complete, we have combined the Top 100 questionnaire with our annual Retirement Plan Adviser Survey. It’s set to close tomorrow, so complete the survey today!
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Inclusion, Diversity and the Noble Purpose of Advisers
The principal of financial adviser inclusion and diversity at Edward Jones reflects on her job leading the advisory company’s revamped diversity efforts—informed by her own first career as an adviser in the field.
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Morningstar Advocates Refining the Definition of Clean Shares
Comments submitted to the Department of Labor by experts with Morningstar warn the loose use of the term “clean shares” could jeopardize fiduciary compliance.
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SEC Accuses 403(b) Plan Advisory Firm of Conflicts-of-Interest
Envoy Advisory is accused of breaches of fiduciary duty, inadequate disclosures and compliance deficiencies. Most of its clients are small to medium-sized non-profit, faith-based organizations that sponsor ERISA Section 403(b) retirement plans for employees.
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MOST READ ARTICLES
1
COMPLIANCE
DST Systems and Ruane Advisory Named in ERISA Suit
2
COMPLIANCE
The Right Course What Can 403b Plan Sponsors Learn from Litigation
3
PRACTICE MANAGEMENT
Cybersecurity Must Be C-Suite Concern at RIAs Brokers and Managers
4
COMPLIANCE
SEC Accuses 403b Plan Advisory Firm of Conflicts-of-Interest
SPONSORED MESSAGE FROM MetLife
Stable Value as a DC Plan Capital Preservation Vehicle From MetLife
Click to see Video.
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Regulators Provide Relief for Hurricane Irma Victims
The Internal Revenue Service announced that 401(k)s and similar employer-sponsored retirement plans can make loans and hardship distributions to victims of Hurricane Irma and members of their families. This is similar to relief provided last month to victims of Hurricane Harvey.
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Retirement Income Language Barrier Remains a Problem
Despite the generally positive perceptions of the benefits of guaranteed lifetime income, only one in four survey respondents age 45 and up plan to purchase an annuity.
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Participants’ Trust in Retirement Plan Providers Rises
“Engagement is grounded in emotional factors like, feeling secure, having confidence about the future and feeling in control,” says Laurie Rowley, co-founder of NARPP. “Trust catalyzes the efficacy of these emotional factors into improved financial decision-making.”
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2017 PLANADVISER Recordkeeper Services Guide
Recordkeepers’ consistent evolution is detailed in the 2017 PLANADVISER Recordkeeper Services Guide.
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Fidelity AMP Combines Firm Offerings with Digital Advice Solution
Advisers can also use the platform to move clients from a fully-automated solution to a more collaborative arrangement as needs evolve.
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Editorial: Alison Cooke Mintzer alison.mintzer@strategic-i.com
Advertising: Paul Zampitella paul.zampitella@strategic-i.com
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