Newsdash Insight on Plan Design & Investment Strategy from PLANSPONSOR
November 15th, 2016
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. Read more >
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. Read more >
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. Read more >
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. Read more >
Partnering on Advice
With the right teammates and partners, advisers can touch on all financial aspects of participants’ lives. Read more >
SECURE Act Ensnared in Senate After Flying Through House
Newly Allowed 401(k)s Will Need Advisers
Dow, DuPont and Corteva Sued for Allegedly Ducking Pension Obligations
Wells Fargo and Principal Can Learn From John Hancock-New York Life Deal
Retirement Industry People Moves
Sponsored message from JP Morgan
Half of participants admit they don’t have a plan regarding retirement
Our Plan Participant Survey Findings take a closer look at DC plan participants’ attitudes and behaviors when it comes to saving and investing for retirement. Read more >
Guide Discusses Setting Up and Operating Automatic Enrollment 401k
The IRS document can be used by advisers in helping them educate plan sponsors about automatic enrollment 401(k) plans as well as to help plan sponsors set up such plans. Read more >
Voya Launches Monitoring Tool
The new system is built to help adviser clients meet practice-management goals by offering a variety of monitoring capabilities. Read more >

Editorial: Alison Cooke Mintzer

Advertising: Paul Zampitella

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