INSIDE THE MAGAZINE PLANADVISER May/June 2019

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Retirement Plan Clients Can Learn From Financial Audits

Auditors "can provide feedback on the effectiveness of, and suggestions for improving, processes and controls in place related to fiduciary responsibilities and efficient and effective plan operations,” said James Haubrock, with the American Institute of Certified Public Accountants.

Annuities Are Potentially More Useful Today Than Ever

Anxiety about turning DC plan assets into a “lifetime retirement paycheck” in such a low-rate environment is keeping aging Americans in the workforce—including many who very likely have enough money saved to retire comfortably and don’t want to keep working.

8th Circuit Sides with Defense in Stock Drop Appeal

The affirmation once again shows how influential has been the Supreme Court’s 2014 decision known as Fifth Third v. Dudenhoeffer. It also presents an interpretation of how Fifth Third interacts with another significant SCOTUS decision known as Tibble v. Edison.

An Important Point About Form CRS and SEC’s Reg BI

Under the SEC’s final regulations, Form CRS requires less prescribed wording relative to the proposed version, meaning firms may generally use their own wording to address required topics and will have more flexibility to provide information to investors.