PLANADVISER Weekend Newsdash
Week ending November 18th, 2016
Editor's choice
Data and Research
Scorecard Reports Millennials Are Participating More in Retirement Savings
The key to the increase in engagement seems to be automatic and mobile enrollment. Read more >
Products
Capitol One Eliminates Commission-Based IRAs
As the implementation date for the Department of Labor (DOL)’s Conflict of Interest rule approaches, Capital One Investing will be moving away from commission-based products within its retirement-account services. Read more >
Investing
DC Specialists Embrace Custom TDFs
The number of DC specialist advisers making customized target-date fund recommendations has increased significantly in just the last year. Read more >
Compliance
Second Suit Targets Edward Jones Over Self-Dealing Claims
Edward Jones is being accused by another set of plaintiffs of favoring the investments of its “preferred partners” in its 401(k) plan, enriching the firm at the expense of performance. Read more >
Compliance
Financial Engines and Xerox Questioned in ERISA Suit
The latest ERISA lawsuit to be filed targets Xerox and Financial Engines for advice arrangements negotiated between the firms and several Ford Motor Company retirement plans. 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.

Kaleida Health Faces 403(b), 401(k) Plan Fee Lawsuit

The complaint specifically calls out the 11 T. Rowe Price target-date funds (TDFs) offered by the plans, saying they are all adviser or retail class funds—as opposed to investor or institutional class funds.

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

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

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