PLANADVISER Weekend Newsdash
Week ending October 12th, 2018

Happy Friday, readers! This weekend’s mailing looks back at our recent coverage of the environmental, social and governance (ESG) investing topic. While ESG is still in its infancy when it comes to defined contribution retirement plans, experts agree that client demand for such strategies will propel innovation and greater adoption, even in the tax-qualified planning arena. Below, advisers can find materials that can be used to educate clients and prospects about ESG investing. We hope you will share some of what you learn with a colleague.

ESG Investing
Advisers Slow to Respond to ESG Investing Demand
“Providing advisers with materials that can be used to educate clients about a firm’s approach to ESG investing is crucial in increasing adviser adoption,” says Ed Louis, a senior analyst at Cerulli Associates. Read more >
Impact Investing Is Not Philanthropy
A new white paper argues that investors can use their hard-earned dollars to make a positive impact on the world while also enhancing the performance characteristics of their portfolios. Read more >
Views of ESG Investing Changing Among Institutional Investors
The percentage of U.S. institutional investors that reject ESG outright shrank dramatically year over year, from 51% to 34%, according to RBC Global Asset Management’s third annual Responsible Investing Survey. Read more >
More Than Four in 10 Institutional Investors Incorporate ESG
Forty-three percent of institutional investors incorporate environmental, social and governance factors into their investing, up from 22% in 2013, according to a new report from Callan, “2018 ESG Survey.” Sixty-four percent of endowments incorporate ESG, up from 35% in 2013. Read more >
GAO Says Changes in DOL Guidance on ESG Prevent Retirement Plans from Embracing It
In a report, the Government Accountability Office points out that whether or not retirement plans consider the projected impacts from climate change and other environmental, social and governance (ESG) risk factors could affect investment returns and, in turn, the financial health of retirees. GAO notes that some investors believe that companies with good corporate governance practices are better managed and will perform better financially over time. Read more >
Helping Participants Brace for Market Volatility
The only person who gets hurt on a rollercoaster is the one who jumps out; advisers should stress that volatility is the price individuals pay for long-term performance. 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.

DOL Seeks to Expand Access to Open MEPs, or 'Association Retirement Plans'

These plans allow small businesses to join together to offer defined contribution retirement savings benefits.

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

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

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