Newsdash Insight on Plan Design & Investment Strategy from PLANSPONSOR
January 5th, 2017
Employer Stock Drop Suit Victory Upheld by D.C. Circuit
To appreciate the riskiness of a stock intimately involves its market valuation, and to argue that the ESOP fiduciaries should have been able to outguess the market’s valuation is inherently unfair absent special circumstance, such as fraud. Read more >
Laser Focus on Clients Pays Off
A new research report published by FP Transitions and SEI Advisor Network suggests that advisers willing to double down on carefully managing the client experience can generate serious return for their own business. Read more >
What Clients Will Pay For Has Shifted
“Plan sponsors are less willing to pay for services that have now become fully or partially commoditized through the disintermediation of the Internet, such as investment research. Advisers have had to reduce their fees as many of these services are no longer seen as differentiators.” Read more >
COMPLIANCE CONSULT: Advisers’ Sales Partners
If sellers fail to qualify for the independent fiduciary exception or some other exception, they likely will be considered fiduciaries in connection with a sales transaction involving an ERISA account or IRA. Therefore, sellers must comply with an exemption under ERISA or the IRC, as applicable. Read more >
Wait, SECURE 2.0 Might Not Pass?
Asset Managers Scramble to Offer In-Demand Investment Vehicles
401(k) Robo-Adviser Blooom Shuts Services, Sells Tech to Morgan Stanley
Fitch: SEC “Crack Down” on ESG Greenwashing to Continue
A Reminder to Avoid Fraudulent Hardship Withdrawals
Sponsored message from T. Rowe Price
Recruit, Retain, Retire
So much of the financial wellness conversation to date has focused on the potential health care cost mitigation of adopting organizations. Read more >
Cultivating Your Practice
Repeated and time-consuming manual processing-tasks simply cannot be left to an adviser or another human staffer to complete as profit margins continue to be squeezed tighter and tighter. Read more >
Working With Professional Services Firms
Advisers need to illustrate to these professionals that rather than pay substantial taxes on profits, it often makes far greater economic sense for them personally to create a cross-tested 401(k) retirement plan paired with a cash balance plan, and then to make the secondary argument that it benefits their employees as well.  Read more >
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