January 2nd, 2020

NAIC Committee Advances Annuity Transaction Suitability Rules Notably, the proposed revisions to the Suitability in Annuity Transactions Model Regulation would provide a safe harbor for firms and producers that comply with the SEC’s Regulation Best Interest. Read more > Advisory Practices Can Be Good Candidates for ESOPs While some business sectors with relatively high employee turnover may not make great ESOP candidates, most other businesses will. These include financial services firms such as retirement-focused independent registered investment advisers and wealth managers. Read more > Foul Weather The value of ­facilitating ­emergency savings accounts at the workplace. Read more > MOST READ ARTICLES 1 2023 Retirement Plan Adviser of the Year Finalists 2 Principal Continues Focus on Asset Management, ‘Jet Fuel’ of the Business 3 With SECURE 2.0, the Cash Balance DB Plan May Be Back 4 Biden’s First Veto Keeps DOL’s ESG Rule in Place 5 Complying With the Custody Rule and the New Custody Proposal

Sponsored message from Securian Financial DC Recordkeeping: The High Cost of Low Fees Recordkeepers are calling their services more efficient, or streamlined, but that may be a kind way of saying “less service.” Read more > Retirement Plan Participants Sue Ardent Health Services A new lawsuit filed against Ardent Health Services closely mirrors many of the ERISA challenges filed in 2019. Read more > M&T Bank 401(k) Lawsuit Settlement Agreement Includes Review of Investments M&T Bank or its insurers will also pay a gross settlement amount of $20,850,000 into a common fund for the benefit of class members. Read more >

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