PLANSPONSOR Weekend Newsdash
Week ending June 23rd, 2017
NOTE FROM THE EDITOR
Happy Friday, readers! This weekend’s mailing highlights the latest feature articles and research from PLANADVISER print. Complementing our daily online news coverage, our bimonthly print edition takes a deeper dive into the topics and trends that matter most for retirement specialist advisers. It also features thought-provoking artwork, insights from esteemed ERISA expert columnists, and though-leadership from top providers.
Editor's choice
401(k) Rollovers to IRAs
How does the delay of the DOL fiduciary rule affect my responsibilities when I recommend that participants take distributions from an ERISA plan and roll them over to an individual retirement account that I will advise? Read more >
Plan Assets and Prohibited Transactions
When analyzing whether a prohibited transaction has occurred, there are certain threshold questions that need to be asked. If the alleged violation is said to be an Employee Retirement Income Security Act (ERISA) Section 406(b) violation, it is necessary to establish that at least one of the parties is a fiduciary and that plan assets were involved. The presence of plan assets will be obvious but not in all cases. Read more >
SEC Weighs In On ‘Robo-Advisers’
In February, the Division of Investment Management of the Securities and Exchange Commission issued guidance on how registered investment advisers who act as “robo-advisers” may comply with the Investment Advisers Act of 1940. In the guidance, the SEC provided some insights as to what it may view as shortcomings in current robo-adviser program offerings. Read more >
2017 PLANADVISER DCIO Survey
Now in its sixth year of publication, the PLANADVISER Defined Contribution Investment Only Survey continues its trend of finding a steady increase in DC plan assets among the survey’s 41 participating providers. Read more >
Editor’s Letter: Kicking the Can
The fiduciary rule is here and in effect … for now. On the morning of May 24, as I started to make sense of my email, I noticed one from the DOL and saw a news alert about the fiduciary rule. Turns out Secretary of Labor R. Alexander Acosta had written an op-ed about the status of the rule, and at the same time the DOL had released a set of FAQs and a field assistance bulletin about it. Read more >
MOST POPULAR STORIES
401(k) Plan Participants Challenge Principal's Management of TDFs

The lawsuit alleges Principal used proprietary investment vehicles, rather than other investment vehicles, and share classes with higher fees for the underlying TDF investments, to produce more income for itself and its subsidiaries.

Determining Health Cost Needs in Retirement Is Complex

Although some retirees face catastrophic health care cost in retirement, EBRI found that most don't.

Why Are Retirees Spending Down So Slowly?

EBRI questions whether retirees are just determined to preserve their assets or whether they need more education about spending assets in retirement—both have implications for retirement plan advisers and sponsors.

It’s Not Déjà Vu, It’s a Brand New Best Interest Rulemaking Debate

The release of a thousand-page "best interest" rulemaking package by the SEC applying to all brokers and investment advisers is being hailed as a victory by some and a deep disappointment by others; either way, it's the start of another long chapter in the epic industry battle over federal conflict of interest regulations. 

A QDIA in Transition
Participants are moved to a managed account as they draw close to retirement

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

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

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