Newsdash Insight on Plan Design & Investment Strategy from PLANSPONSOR
January 12th, 2016
SEC Reveals 2016 Examination Priorities
The Securities and Exchange Commission updated its examination priorities for 2016, and while much of the focus remains the same, some new areas of concentration are emerging, especially around liquidity controls and cybersecurity. Read more >
JP Morgan Will Pay $150 Million Over Risk Disclosures
It’s been several years since financial media headlines railed against the “London Whale” trading difficulties at J.P. Morgan, but at least one related securities lawsuit involving retirement plans is still unfolding in the federal courts. Read more >
Court Rejects Excessive Fee Claims Against Principal
A circuit court has agreed that Principal Financial Group was not acting as a fiduciary under ERISA when it entered into a contract with an employer to offer separately managed accounts. Read more >
Days of AUM-Based Fees (Slowly) Waning
One pair of advisory industry experts suggest the assets under management-based fee model has stuck around mainly because financial services consumers don’t understand how advisers make pricing decisions or how much diversity actually exists in compensation models. Read more >
6th Circuit Backs Defense in Fidelity Freedom Funds ERISA Suit
Olin Corp. Soundly Defeats ERISA Lawsuit
Senate Finance Committee Advances EARN Act
Retirement Industry People Moves
Most Americans Rely on Their Spouse for Retirement Advice
Half of investors surveyed by John Hancock credit their spouse as the person who has the most positive influence over their retirement planning decisions, followed by those who say their financial adviser has been the most instrumental. Read more >
Does Your Practice Stand Out?
For retirement plan advisers to remain competitive, it is important that they gauge how their services and pricing measure up against those of their peers. The 2015 PLANADVISER Practice Benchmarking Survey, our ninth, gives invaluable insight into your industry competitors. Read more >
Endowment Index Declines 3% in 2015
The index was established as a benchmarking tool for investors in globally-diversified, multi-asset portfolios that include alternative investments, and is the basis for a collective trust used in DC plans. Read more >
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