Newsdash Insight on Plan Design & Investment Strategy from PLANSPONSOR
December 27th, 2019
PLANADVISER Magazine regularly publishes byline articles written by thought leaders in the retirement plan advisory field. Collected below are some of the best submitted pieces from 2019, covering such topics as the DOL’s regulatory agenda, new standards for IRA rollovers, protecting participant data, and more.
How to Protect Participant Data
I am an investment adviser to ERISA [Employee Retirement Income Security Act] plans. Plan committees rely on me to keep them up to date on new developments. Recordkeepers sometimes use participant data—e.g., participant ages, retirement dates, account size—to cross-market investment products and services to participants outside the plan. Is there a fiduciary duty to protect this participant data from possible misuse? Read more >
A New Way to Think About Building a Retirement Planning Practice
What is your closing rate for 401(k) plans? Have you tried offering simpler solutions? Read more >
Plugging the Leak: Uncashed Distribution Checks
Drip… drip… drip. The slow drip of defined contribution plan leakage continues. Read more >
6th Circuit Backs Defense in Fidelity Freedom Funds ERISA Suit
Ready for PTE 2020-02 July 1 Enforcement?
Olin Corp. Soundly Defeats ERISA Lawsuit
Retirement Industry People Moves
Significant Retirement Bill Moves Forward in Senate
The DOL’s Fiduciary Race Ahead of 2021
There is precious little time remaining for the proposal and adoption of any new advisory industry conflict of interest rules that the DOL hopes to make effective during this presidential administration. Read more >
Is Your Advisory Business Market-Ready?
There are many succession options for retirement plan advisers planning for their own futures, but whatever route an owner may take, advanced planning will improve the process. Read more >
What Is a DOL Adviser Investigation Like?
The number of Department of Labor investigations of financial advisers has steadily increased over the years; here is a primer on the DOL’s sources of authority, and what to expect when examiners come knocking. Read more >
An IPS ‘Sets’ The Standard
I’m new as an adviser, and while I’ve read that an investment policy statement, or “IPS,” isn’t required under ERISA [Employee Retirement Income Security Act], it seems like many of our clients have them. What do I need to know about them? Read more >
Now Who Is a Fiduciary?
How the SEC’s best interest rule could affect plans, IRAs. Read more >
The SEC’s Standard on IRA Rollovers
Advisers must act in investors’ best interest. Read more >
Market Mirror
Thursday, the Dow closed 105.94 points (0.37%) higher at 28,621.39, the NASDAQ increased 69.51 points (0.78%) to 9,022.39, and the S&P 500 was up 16.53 points (0.51%) at 3,239.91. The Russell 2000 was virtually unchanged at 1,677.67, and the Wilshire 5000 gained 162.13 points (0.49%) to finish at 33,006.67. The price of the 10-year Treasury note was unchanged, with its yield at 1.904%. The price of the 30-year Treasury bond increased 24/32, bringing its yield down to 2.324%.
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