News

Two new risk alerts published by the SEC provide broker/dealers and advisers with advance information about the expected scope and content of the initial examinations for compliance with...

The firm has established a dedicated team to support participants who are considering accessing their retirement savings to meet their short-term financial challenges related to the pandemic.

In addition to waiving fees related to participant hardship withdrawals, the firm is suspending fees for plan amendments made in response to the pandemic.

Through the new ManagedPlan solution, the PCS Retirement recordkeeping platform will be fully integrated with Envestnet's wealth management platform.

While an appellate court ruled that Mercy Health's pension plan is a church plan exempt from ERISA requirements, a district court must determine whether ERISA's exemption violates the...

The SEC has confirmed that the COVID-19 pandemic will not halt the implementation of the SEC’s Regulation Best Interest, which has a general compliance date of June 30.

In addition to waiving transaction fees for participants, Principal is waiving fees for certain retirement plan amendments.

“There’s a gap in the market where the solo adviser or small office is trying to create their own marketing, sales, and service process documents,” says Sharon Pivirotto.

TRA appoints national sales manager; SS&C Technologies names retirement solutions manager; MMA acquires Illinois brokerage firm; and more.

A settlement secured by Massachusetts financial market regulators from Janny Montgomery Scott underscores the importance of monitoring the share class recommendations being made to clients. 

Those few remaining advisers who have been reluctant to integrate digital communications as a core part of their client service strategies have little choice but to reconsider in...

With the coronavirus pandemic causing acute financial harm to so many Americans, plan sponsors may feel compelled to offer hardship withdrawal relief in their plans; plan advisers can...

“The uncertainties caused by COVID-19 have not changed our perspective or commitment,” SEC Chairman Jay Clayton says.

The fee waiver will remain in place until further notice, depending on circumstances in the economy and financial markets.

It is designed to enable advisers to have deeper conversations with clients about various tax strategies.

The text of the pro-plaintiff ruling offers a helpful history lesson about several precedent-setting cases that continue to define the borders of the ERISA litigation landscape.

The Advisor Resiliency Pack suite of services is designed to help advisers grow and enhance client engagement as well as manage their business operations through the effects of...

Through September 30, Voya will credit CARES Act-related transaction fees to DC plan participants and offer financial education to Americans.