PLANADVISER Weekend Newsdash
Week ending December 27th, 2019

Happy Friday, readers! There are a lot of elements to ensuring success in the financial advisory profession, but at the core is quality client service. You can have the best growth rate in the industry and the most effective sales staffers out there, but if you aren’t retaining existing clients, it will all be for naught. Collected below is a series of articles on the topic of ensuring quality client service. We hope you will share some of what you read with a client or colleague.

Editor's choice
2020 Will Be Another Year of Adviser Philanthropy
The editorial team of PLANADVISER was blown away by the generosity of advisers recognized in our 2019 Advisers Giving Back program, and we’re already working on new stories of giving for 2020. Read more >
Business Owners Dream (Wrongly) of an Easy Retirement Transition
Business owners believe strongly in the value of their businesses, so they are often tempted to reinvest everything into the enterprise, thinking that will be their “retirement plan.” Read more >
Ways to Combat Leakage
The Savings Preservation Working Group says that at least 33% and as many as 47% of plan participants withdraw part or all of their retirement savings when switching jobs. Read more >
Preventing Financial Abuse of Aging Clients
Retirement plan advisers do more than help shape their retired clients’ finances; they can and indeed must play a part in making sure their clients are treated equitably. Read more >
The Price Tag of Financial Stress
According to new John Hancock research, financial stress has a major impact on organizations, costing more than an estimated $1,900 per year, per employee. Read more >
MOST POPULAR STORIES
Old Dogs, New Tricks: Training for Veteran Advisers Pays Off

A new case study suggests even advisers with decades of industry experience can attain measurable growth improvements with the short-term addition of training, coaching and peer accountability.

Weighing Active Management in DC Plans

Experts continue the debate about actively managed funds in light of a publication from the CFA Institute Research Foundation which asks, ‘Is active management worth it?’

CAPTRUST, T. Rowe, NBS Team Up on ‘MEP-PEP Alternative’ for Small Clients

The Direct Fiduciary program aims to allow companies to significantly reduce the amount of time spent managing an individual 401(k) plan by outsourcing administrative and investment fiduciary responsibilities.

DOL, IRS and PBGC Call for Comments on Form 5500 Revisions

In addition to asking for input on the SECURE Act’s requirements and the current Form 5500, the DOL has published a notice of proposed changes to its implementation of regulations under Title I of ERISA.

SEC Sanctions Offer New Cybersecurity Guideposts
One former SEC enforcement leader says actions against several advisory firms that allegedly had cybersecurity failures make a clear case for the use of multifactor authentication—but that’s just the beginning of cybersecurity.
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