Compliance November 26th, 2019 New SEC Advertising Regulations Warrant Caution The new principles-based approach to advertising regulations may allow advisers to better tell their stories to prospective clients, but it...
Client Service November 22nd, 2019 Limited 529 Plan Knowledge Holds Savers (and Advisers) Back Educating people about the plans is important, as a recent Edward Jones survey found that only 29% of Americans know...
Client Service November 20th, 2019 What to Expect With Unexpected Early Retirement Considerations for participants when retirement comes earlier than anticipated.
Client Service November 18th, 2019 Being Realistic About Longevity More retirement plan participants are recognizing the financial implications of longer lifespans.
The Markets November 8th, 2019 Advocates Say DC Plans Should Be Considered ‘Accredited Investors’ Public markets are shrinking, and more of the wealth generated by the U.S. and global economies is locked in private...
The Markets November 7th, 2019 Insurance Companies Are Experiencing Investment Challenges Since some retirement plan investments are tied to insurance company portfolios, should fiduciaries monitor these accounts like other investments?
The Markets November 4th, 2019 The Business Cycle, Geopolitics and Retirement Investing Trade tensions between the U.S. and China have dominated financial news headlines, but investors have a lot more to think...
The Markets October 31st, 2019 Protecting Participants: What to Know About Mutual Fund Boards Mutual fund boards often do a better job of protecting shareholders than corporate boards, one source says, which are potentially...
Client Service October 29th, 2019 Preventing Financial Abuse of Aging Clients Retirement plan advisers do more than help shape their retired clients’ finances; they can and indeed must play a part...
Compliance October 28th, 2019 ‘FINRA Settlement Expungement Process Is Broken,’ Former Regulator Says FINRA is advancing a proposal to modernize the process by which brokers can clear their records of past customer disputes,...
Practice Management October 21st, 2019 Advisers as Hybrid W-2 and 1099 Employees Questions about compensation lie at the heart of advisers’ decisions about independence, practice ownership and opportunities for affiliation.
The Markets October 16th, 2019 What Prolonged Low Rates Mean for TDF Investors While they are responding in different ways, tactical and strategic target-date fund managers all have to adjust to a new...
Client Service October 8th, 2019 Plugging the Leak: Uncashed Distribution Checks Drip… drip… drip. The slow drip of defined contribution plan leakage continues.
Deals & People October 8th, 2019 Advisers Giving Back: When People Need a Head Start After learning about the work of Head Start, George P. Fraser decided to provide financial education to parents of students...
Client Service October 3rd, 2019 Retirement Income Coming Soon to a 401(k) Near You Experts believe that in the next few years, DC plan sponsors will embrace this option.