PLANADVISER Weekend Newsdash
Week ending August 3rd, 2018

Happy Friday, readers! This weekend’s mailing takes a look through the shifting regulatory kaleidoscope that all retirement plan advisers are familiar with. Indeed, spend any significant amount of time in the retirement planning industry and, whatever the role, one will inevitably hear about the negative impact of “regulatory uncertainty.” Has it always been this way? Will it always be this way? 

Editor's choice
Peering Through the Regulatory Kaleidoscope
Spend any significant amount of time in the retirement planning industry and, whatever the role, one will inevitably hear about the negative impact of “regulatory uncertainty.” Has it always been this way? Read more >
The Power of Hosting Events
Spectrum Investment Advisors values visual presentation and experience. So, when company President James Marshall committed to erecting a new building five years ago, in Mequon, Wisconsin, it was outfitted with an engaging meeting space, where plan sponsors and participants could come attend seminars, gain insight into the firm’s workings—not to mention, drink a little coffee. Read more >
In Memoriam: How the Fiduciary Rule Changed the Retirement Industry
With the news emerging that the 5th U.S. Circuit Court of Appeals has certified its ruling to vacate the DOL fiduciary rule, Scott Gehman, a retirement plan consultant with Conrad Siegel, reflects on what is already an important legacy for the short-lived set of conflict of interest reforms. Read more >
Stage Set for Fiduciary Jurisdiction Test Between DOL and SEC
Experienced ERISA attorneys and retirement industry executives project some possible outcomes of the DOL and SEC conflict of interest reform process; some expect a broad new proposal could emerge as soon as this week from the SEC. Read more >
FINRA Rep Monitoring Rule Change Could Trigger RIA Compensation Renegotiation
The regulator is reassessing its requirements for RIAs to monitor the outside business activities of their reps; one experts argues it is likely that, if the final rule reflects the proposed rule, many plan advisers who serve plans through an independent RIA (as opposed to the broker/dealer’s “corporate” RIA) will seek to renegotiate their compensation arrangements relating to their independent RIA revenue. Read more >
Fee and Industry Shifts Mean Retirement Plan Providers Can Play Hardball
A look back at how Fidelity will charge new plan sponsor clients on its platform who choose Vanguard products makes visible the hard-nosed competition that defines the retirement plan recordkeeping and brokerage industries. Read more >
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Eyes on the Investment Menu
Experts share insights on the construct of a modern DC plan lineup.
Efforts to Boost Americans’ Retirement Savings Continue at Full Speed

Congressional leaders and asset management executives say they are committing to furthering legislation to expand coverage and boost savings

‘Secure Act 2.0’ Likely to Become a Reality

Retirement Plan Execs Confident Senate Will Pass the Bill Into Law

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.

The Future of Health Care—and What It Means for Retirement Planning

As health care costs rise, there is more overlap than ever between health decisions and financial decisions. So much is obvious to forward-thinking financial advisers, but what is less clear is where health care itself is heading in the 21st century.

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