PLANADVISER 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
With Prudential Acquisition, Empower Aims for Growth Up to 3x Faster Than Other Recordkeepers

The CEO of the nation’s No. 2 recordkeeper says Empower’s focus will continue to be on a best-in-class user experience.

Empower to Acquire Full-Service Retirement Business of Prudential

Empower will acquire Prudential’s DC, DB, non-qualified and rollover IRA business, in addition to its stable value and separate account investment products and platforms.

ProNvest Launches Fintech Platform

It can cull data for advisers, banks, credit unions, insurance firms and other institutions to give an overview of a person’s defined contribution plan holdings.

Dissecting TIAA Subsidiary’s $97 Million SEC Rollover Settlement

A subsidiary of TIAA will settle conflict of interest charges related to the provision of rollover advice to employer-sponsored retirement plan participants; the development offers up some important considerations for financial services professionals.

Talking Scale With Voya, Sterling Resources Leaders

Over the past decade, the universe of retirement plan recordkeepers has contracted from about 400 to approximately 150, with no signs of slowing. Experts say one lesson learned in this time is that not all scale is created equal.

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