Week ending November 4th, 2016

NOTE FROM THE EDITOR

Happy Friday, readers. Over the past few weeks a clear theme has emerged among the many research reports and studies shared with PLANADVISER. It seems that financial services firms of all descriptions—banks, brokerages, recordkeepers—are focused on new ways to build client trust and measure the quality of the client experience. Collected below are some highlights that should offer helpful perspective for any DC advisory practices engaged in this critical effort.

Editor's choice

DC Advisers Are Among Many Focused on Client Trust

Retail banks, active investment managers, defined contribution plan advisers, recordkeepers—they’re all focused on building client trust as a crucial element of future sales success. Read more >

Trustworthiness Trumps Other DC Adviser Satisfaction Factors

Trustworthiness is a must-have ingredient for brand consideration in the defined contribution industry, according to a new analysis from Cogent Reports. Read more >

Putting Up Fiduciary Guardrails Can’t Wait

“The history of the ERISA industry has shown that any time there’s real change there is also real opportunity that comes along with it.” Read more >

Presentation Matters with Millennial Investors

A new study finds that just 11% of Millennial retirement plan participants feel comfortable managing their investments themselves—yet many in the generation hesitate to pursue advice. Read more >

Fastest Growing Advisory Practices Focus on Client Interface

New data suggests that financial advisers focused more on client management than on investment management see much stronger asset growth and retention. Read more >

MOST POPULAR STORIES

DOL Finalizes Rule Opening Door to ESG Investing in Retirement Plans

The DOL announced a final rule that retirement plan fiduciaries can consider climate change and other ESG factors when selecting investments.

AARP Finds Major Gap Between Retirement Goals and Preparedness

A new AARP study finds there is still a wide gap between the importance people put on retirement planning and their sense of preparedness.

Advisers Get Long-Awaited Clarity on ESG in Retirement Plans

DOL's final rule clears regulatory hurdles for retirement plan fiduciaries to implement, or ignore, ESG investing.

Plan Advisers Value Trustworthiness, “Personal” Touch from DC Recordkeepers

Retirement plan advisers respond to DC recordkeepers that are present, active, and trusted partners, according to an annual Cogent Syndicated brand survey.

A Reminder to Avoid Fraudulent Hardship Withdrawals

An individual in Ohio was recently indicted by a grand jury on charges that he fraudulently claimed the assets he withdrew from his retirement account would be used to purchase a primary residence and to pay medical expenses.

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