May 2nd, 2017

How Federal Judge Trends Can Inform ERISA Litigators Jamie Fleckner, a partner with Goodwin Proctor LLP, tells PLANADVISER the judge assigned to the case does have an impact on how litigators think about defending the case and the strategy they might employ in litigating. Read more > Product Restrictions, Platform Limitations, Drive Adviser Attrition New Cerulli Associates research identifies “pain points” at the root of advisers’ decisions to change firms—and what leadership can do to address staff concerns before losing key advisers.  Read more > More People Expect to Have a Comfortable Retirement Fifty-four percent of people who are not yet retired expect they will have enough money for retirement, up from 48% last year, according to a Gallup survey. This is the highest percentage since 2007, when 53% expressed this confidence. However, when Gallup first started this survey in 2002, 59% said they thought they would have a comfortable retirement. Read more > Analysis Shows Demand for Advice Increases with Age, Account Balance The analysis from TIAA’s proprietary business reveals significant demand for advice through the online tools; however, it also reveals a significant jump in demand for in-person advice between 2011 and 2012. Read more > MOST READ ARTICLES 1 Wait, SECURE 2.0 Might Not Pass? 2 Asset Managers Scramble to Offer In-Demand Investment Vehicles 3 Experts: More Hackers Going After Retirement Savings 4 401(k) Robo-Adviser Blooom Shuts Services, Sells Tech to Morgan Stanley 5 Near-Retirees May Be at Risk for Retirement Income Shortfall

Varying Fees I am a fiduciary adviser to ERISA plans and IRAs, and I charge an asset-based fee. I don’t receive any other payment, direct or indirect, in connection with these services, and my fee satisfies the definition of “level fee” under the Best Interest Contract exemption. May I charge a level fee for advising on the portion of the client’s portfolio that is allocated to equities but a lower level-fee for the portion allocated to fixed-income investments? Read more > Transamerica Launches Voice Pass Once a customer is enrolled in the optional service, he or she simply speaks the passphrase, “At Transamerica, my voice is my password,” to securely access their accounts, without the need for additional passwords, PINs, security questions or subsequent calls. Read more >

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