EXCLUSIVES

The Fiduciary Insurance Market Crunch Matters for Everyone

In a Q&A with PLANADVISER, expert benefits attorney Erin Turley points to a critical emerging challenge for the retirement plan services industry and its clients: a significant tightening in the fiduciary insurance marketplace.

Practice Progress: Development of PEPs in 2021

The creation and operation of collective retirement plans has historically been a complicated affair, and while the SECURE Act has simplified key aspects of the process, some significant questions and challenges remain.
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ESG’s Growing Influence on Proxy Voting

Due to regulatory changes and market demand, proxy voting is about to be more influenced by environmental, social and governance approaches. For plan advisers, this change could open additional client service opportunities.

Op-Ed: ERISA Prudence Demands Healthy ESG Skepticism

Neal Shikes agrees that ESG factors can be an important part of institutional investors’ methodologies, but he also says retirement plan fiduciaries should be skeptical of some claims about what todays’ ESG investments can actually deliver when it comes to confronting climate change.

Could This Be a DOL ESG Framework That’s Here to Stay?

In addition to the important practical takeaways of the DOL’s proposed rule on ESG investing and proxy voting, sources say the potential impact and what the department is signaling with the proposal are enormous.

PANC 2021: Telling Your Story

Financial advisers have new opportunities when it comes to marketing, branding and thought leadership, but there is fine line between what is trendy or new and what goes against policy.

Protecting Elderly Clients From Financial Abuse

Sources offer lessons learned from thousands of potential elder abuse investigations, highlighting red flags and revealing the harm that can befall clients; for example, those victimized by a loved one lose nearly three times as much on average to fraud or theft as those victimized by a stranger.

SEC Sanctions Offer New Cybersecurity Guideposts

One former SEC enforcement leader says actions against several advisory firms that allegedly had cybersecurity failures make a clear case for the use of multifactor authentication—but that’s just the beginning of cybersecurity.

A Q&A With QMA’s David Blanchett

David Blanchett, QMA’s newest managing director and head of retirement research, talks about the evolving role of DC plans and workplace investing—including the interplay of target-date funds, personalization and managed accounts.