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
An IPS Is Not Required
But there’s no good reason for a plan not to have one.
New Jersey Latest State to Issue Fiduciary Regulations

Brokers who were happy to see a federal-level uniform fiduciary rule rejected by an appeals court last year may now be rethinking their stance as a patchwork of state-level rules comes to the fore.

Inside and Outside Views on Principal’s Wells Fargo Acquisition

Principal’s retirement business president offers additional details about the firm’s acquisition of Wells Fargo’s retirement business, while outside analysts reflect on the broader industry implications of two major providers coming together.

2019 PLANSPONSOR Retirement Plan Adviser of the Year
The 2019 PLANSPONSOR Retirement Plan Adviser of the Year winners and finalists have demonstrated leadership and a commitment to excellence for their retirement plan sponsor clients and participants. Congratulations to all the firms on the list!
How To Make 529 Plan Service Pay Off
Offering advice about 529 college savings plans can deepen client relationships, though such services are not usually big revenue drivers on their own.

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

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

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