Newsdash Insight on Plan Design & Investment Strategy from PLANSPONSOR
January 19th, 2018

SEC Investor and Cyber Initiatives

Notably, these compliance areas are not new territory for the SEC. In fact, the agency has repeatedly brought enforcement actions against advisers for engaging in questionable cybersecurity practices. As a result of the task force’s efforts—which will include the use of data analytics and other resources—the SEC is poised to greatly enhance and expand its investigative and enforcement activities, and to extend even greater scrutiny to advisers and other regulated parties. Read more >
NYC Public Pension ESG Investing Debate Renews a Fight Familiar to Some
The American Council for Capital Formation agrees theoretically with the possibility that environmental and social factors are materially important to institutional investments, instead accusing New York City of failing to live up the real possibilities of “modern ESG” investing. Read more >
Millennial Investors Want Perks and ESG Investing
A new Spectrem study reveals that almost a third of Millennial investors want their financial adviser to “reward them with gifts or other favors” in exchange for their business. Read more >
Standford Center for Longevity Proposes New Strategy for Retirement Income
A new retirement study by the Stanford Center on Longevity, conducted in conjunction with the Society of Actuaries, “Optimizing Retirement Income by Integrating Retirement Plans, IRAs, and Home Equity,” presents a framework of analyses and methods that plan sponsors, financial advisers, and retirees can use to compare and assess strategies for developing lifetime retirement income.  Read more >
Investment Products and Services Launches
TD Ameritrade Announces Alternative Solution for Portfolio Management; American Century Releases First ETFs; Putnam Reveals Two ESG Fund Offerings; and more. Read more >
MOST READ ARTICLES
1
Fidelity Faces a Myriad of Allegations in New ERISA Lawsuit
2
Education About Tax Treatment and Fees Could Boost 401(k) Participation
3
AARP Launches Social Security Resource Center
4
Open MEPs Could Create Many Opportunities for Advisers
5
Retirement Industry People Moves
Many Facets of Value
Much has been made of the active vs. passive debate and what is best for retirement plans. As litigation and required disclosures continue to place an emphasis on investment fees, there is a growing focus on cost-effective investments and index funds. Thus, it is unsurprising to see that Vanguard is the No. 1 fund family and that retirement plan advisers made the Vanguard S&P 500 Index Fund their top fund to recommend to clients. Read more >
Alight Solutions 401(k) Index Measures Slowest Trading Year Ever for 2017
In total, 1.45% of total plan balances were traded during the year, down from 2.13% in 2016, as participants chased performance within their own portfolios.  Read more >
Securities America Frees Advisers to Text Clients
Texting is becoming the public’s communication channel of choice, the firm says, but the common communication pathway presents regulatory and practical challenges in the independent adviser context. Read more >
Market Mirror
Thursday, the Dow lost 97.84 points (0.37%) to finish at 26,017.81, the NASDAQ was down 2.23 points (0.03%) at 7,296.05, and the S&P 500 decreased 4.53 points (0.16%) to 2,798.03. The Russell 2000 fell 9.93 points (0.63%) to 1,576.73, and the Wilshire 5000 closed 62.39 points (0.21%) lower at 28,984.77. The price of the 10-year Treasury note was down 8/32, increasing its yield to 2.616%. The price of the 30-year Treasury bond fell 25/32, bringing its yield up to 2.896%.

Editorial: Alison Cooke Mintzer alison.mintzer@strategic-i.com

Advertising: Paul Zampitella paul.zampitella@strategic-i.com

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