| Recordkeeper Not Liable for 401(k)'s Failure to Provide Financial Audit |
| In addition to imposing penalties for failure to provide requested plan documents to a 401(k) participant, a federal district court found the plan filed a simplified Form 5500 in years it was not allowed to do so.
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| Adviser Fund Preferences Shift Slowly |
| The vast majority of advisers, when asked to list the five fund families they most often recommend to plan sponsors, chose Vanguard as the top provider. Active management is still largely valued, though, as the rest of the top five all have active management funds.
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| October Was A Difficult Month for Defined Contribution Investors |
| The month presented investors with several challenges, not just negative returns. Still, participants largely held the course during October.
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| Systemic Risk and Climate Fears Drive ESG Momentum |
| Investment volume tied to themes of sustainability and social/environmental responsibility has grown 33% in the last four years alone.
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| Partnering on Advice |
| With the right teammates and partners, advisers can touch on all financial aspects of participants’ lives.
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