Newsdash Insight on Plan Design & Investment Strategy from PLANSPONSOR
July 7th, 2016
Report Reveals Progress on Recommendations to the SEC
The Securities and Exchange Commission’s Officer of Investor Advocate report about objectives for Fiscal Year 2017 discussed Investor Advocate Committee recommendations to the SEC and the SEC’s response to those recommendations. Read more >
Disney Sued over Undiversified Investment in Retirement Plan
A participant in Walt Disney Company’s retirement plan is suing fiduciaries for not removing a fund that was overly concentrated in a pharmaceutical company’s stock. Read more >
From the Magazine: TDF Evolution
Every product introduced goes through a time of development and improvement—consider the evolution of computers and cell phones. The same is true with target-date funds. Read more >
Number of Plan Audits Should Be a Wake Up Call for Clients
Nearly one-third of respondents to a Willis Towers Watson survey have had their retirement plans audited by the IRS or DOL, and the rate is even higher among large plans. Read more >
TIAA Faces New Managed Account Rollover Complaint Months After Settling SEC Charges
DOL Announces Anticipated ESG Fiduciary Investing Rule
Retirement Industry People Moves
Social Security Benefits Will Grow 5.9% in 2022 Amid Renewed Inflation Concerns
Calmer Summer Yields to Volatile Fall for U.S. Investors
Editor’s Letter: The Plan Design Spectrum
Why does a client’s retirement plan look the way it does? What role have you played in its design? For many advisers, the answer comes down to how progressive or conservative the client’s company and investment committee are. Read more >
Being a Fee-Only Fiduciary
A fee is a “level fee” if it is a “fee or compensation that is provided on the basis of a fixed percentage of the value of the assets or a set fee that does not vary with the particular investment recommended, rather than a commission or other transaction-based fee.” Notably, the level fee can be the “only fee” received by the adviser, the firm and any affiliates “in connection with” advice or management services provided to the plan or IRA. Read more >
National Planning Bolsters Adviser Tech Support
The independent broker/dealer network is making a team of technology experts available to help advisers utilize new client service and practice management technology platforms. Read more >
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