PLANADVISER Weekend Newsdash
Week ending September 22nd, 2017
NOTE FROM THE EDITOR
Happy Friday, readers! This weekend’s mailing focuses on practice management. We discover that many asset managers and broker/dealers do not trust compliance programs. Sponsors are looking for more services from their third-party administrators. You may be surprised to learn that only 19% of financial advisers are women, which is why some firms are proactively looking to hire more women. Some advisory practices are centralizing the investment management function and finding that it leads to better performance and lessened risk of litigation.
Editor's choice
Practice Management
Many Asset Managers, B/Ds Don’t Trust Compliance Programs
In addition, many are not confident in their firm’s cybersecurity. Read more >
Forecasting the Future of Your TPA Partnerships
Retirement plan advisers work closely with recordkeepers and third-party administrators, and as in the recordkeeping market, there are significant and persistent pressures reshaping the TPA landscape. Read more >
Inclusion, Diversity and the Noble Purpose of Advisers
The principal of financial adviser inclusion and diversity at Edward Jones reflects on her job leading the advisory company’s revamped diversity efforts—informed by her own first career as an adviser in the field. Read more >
Many Advisory Firms Centralizing Portfolio Construction
They are finding this results in better performance and reduced litigation risk. Read more >
J.P. Morgan Retirement Link Sales Head Dissects Advisory Industry Progress
Charlie Cote, head of Retirement Link Sales at J.P. Morgan Asset Management, reflects on two decades of working with defined contribution retirement plan investors. Read more >
MOST POPULAR STORIES
Education About Tax Treatment and Fees Could Boost 401(k) Participation

Findings from a Capital One survey about why employees do not participate in their employer-sponsored retirement plan offers opportunities for education, according to Stuart Robertson.

IRS to Focus on Retirement Plan Distributions and 403(b) Plan Rules in 2019

A Program Letter lists compliance strategies for the agency for next year.

How Rising Interest Rates Affect Stable Value Funds
While money market funds may look more appealing in the short run, this is not expected to last.
Inertia Remains a Plan Sponsor Problem, Too

The language of “inertia” and “disengagement” are often used to describe the natural state of retirement plan participants, but new research from Wells Fargo suggests plan sponsors are also prone to settling with the status quo.

Kaleida Health Faces 403(b), 401(k) Plan Fee Lawsuit

The complaint specifically calls out the 11 T. Rowe Price target-date funds (TDFs) offered by the plans, saying they are all adviser or retail class funds—as opposed to investor or institutional class funds.

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

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

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