Newsdash Insight on Plan Design & Investment Strategy from PLANSPONSOR
August 30th, 2016
New SEC Rule Impacts Adviser Reporting
“These amendments are an important step in a series of rulemakings to enhance the SEC’s monitoring and regulation of the asset management industry,” says SEC Chair Mary Jo White.  “Requiring investment advisers to report this additional information will provide investors and the commission with a better understanding of the risk profile of each adviser and the industry as a whole.” Read more >
ERISA Lawsuit Calls Out TDF Fees and Revenue-Sharing
A participant in Safeway Inc.’s 401(k) plan is suing the plan sponsor, its benefits committee and its recordkeeper for breaching their fiduciary duties and/or engaging in ERISA prohibited transactions. Read more >
Staying Within the Fiduciary Bounds
Does the new fiduciary rule create a fine line between education and advice? Read more >
Strategic Insight Research Ties DOL Rule to Institutional Pricing
A new study from Strategic Insight predicts the DOL fiduciary rule will accelerate demand for institutional pricing of mutual funds sold through intermediaries. Read more >
DOL Finalizes Rule Opening Door to ESG Investing in Retirement Plans
Advisers Get Long-Awaited Clarity on ESG in Retirement Plans
Plan Advisers Value Trustworthiness, “Personal” Touch from DC Recordkeepers
AARP Finds Major Gap Between Retirement Goals and Preparedness
A Reminder to Avoid Fraudulent Hardship Withdrawals
RIAs Need to Focus on Efficiencies to Drive Growth
TD Ameritrade found RIAs in the top quartile converted 40% to 50% more owner income per dollar of revenue. They also spent a much lower percentage of revenue on overhead expenses, resulting in greater profitability and higher income per owner. Read more >
Other Financial Objectives Compete with Retirement Savings
A survey segments respondents based on the propensity to save regularly and their general feelings toward money, and reveals who is most confident about their financial future. Read more >
Vertical Management Systems Partners With Mid Atlantic
VMS has added Mid Atlantic Trust Company as a trading destination and custody provider within its adviser and TPA network. Read more >
Cafaro Greenleaf Adds to HSA Tax-Exempt Capabilities
The national advisory firm announced the addition of HSA tax-exempt savings analysis to its core service lineup. Read more >
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