PLANADVISER September/October 2021

On Our 15th Year

Our mission to help you—and us, too—better understand the issues you face, and give you strategies to help resolve them, continues.

Legislative and Judicial Actions

The SEC returns to cybersecurity enforcement pledge; Form 5500 revisions; revenue-sharing disclosure failures result in SEC action; and more.

The Bond ‘Misclassification’ Debate

Accusations about overblown bond ratings, by Morningstar, still need to be proved, advisers say. But, if true, this could affect investor capital flows and the amount of risk that bond investors take.

Talking Points

Plain Speak Advisers might keep in mind that when asked to choose the term that fits each definition given below, this is what plan participants said: Adviser Firms Record...

On the Move

Transactions, promotions and new hires in the financial advisory industry.

How to Optimize Connections

If you want to cross-sell to participants, first sit down with the sponsor and sort out the rules.

Different Strokes

Great wellness strategies require much analysis on the part of advisers and clients.

Defining Roles

How to take the lead in adviser/recordkeeper relationships.

Kathleen Kelly

On Marsh McLennan acquiring Compass Financial Partners.