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...
EXCLUSIVES
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...
The Role of Pro Bono Services in Financial Advisers’ Practices
Pro bono advisory work is helping to serve those who have been traditionally under and poorly served by the financial advisory industry—while giving some advisers a renewed sense...
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...
Expect the SEC To Get Tougher on Advisers, Advocate for Retirement Savers
The change in agency leadership has driven a clear change in focus and a new sense of urgency to act...
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...
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...
PANC 2021: Investigation Lessons Learned From Experience
One tip is that being in a state of audit-readiness is essential for retirement plan advisers and their plan sponsor clients—both for peace of mind and to make...
Op-Ed: Financial and 401(k) Trends to Consider
A labor crunch known as The Great Resignation and The Great Retirement are the twin challenges of the early 2020s.
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...
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...
Is Bond Fund Misclassification a Serious Problem?
PLANADVISER wades into the tricky and not uncontroversial topic of bond fund classification, or 'misclassification,' as it were.
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...
A Timely Discussion With the CFP Board
Kim Hayes, who serves as a director for the CFP Board, talked with PLANADVISER about adviser industry turnover, the need to improve diversity and the opportunities afforded by...
Antitrust Issues Scuttled Aon-WTW Combo. What Comes Next?
Regulators cited the elimination of competition in filing a civil lawsuit to halt the union of Aon and Willis Towers...