Weekday news and analysis for retirement plan advisers

Wednesday, August 14, 2024 Exclusives | Awards | Research | Events

Compliance A Compliant Process for Plan-to-IRA Rollovers Fred Reish and Joan Neri detail how RIAs can comply with current rules while the new DOL fiduciary rule remains in limbo. News Feed Quick Links Deals & People Practice Management Products Client Service Data & Research Investing Compliance

401(k) Forfeiture Lawsuits Seeing Their Day in Court A new complaint is filed and others are moved ahead involving Bank of America, Intuit and Qualcomm.

Today’s Most Read 1. Could Managed Accounts Replace TDFs as Plan QDIAs? 2. Second Lawsuit Filed Against Cigna Over 401(k) Plan Forfeitures 3. Financial Advisers Respond to Caregiving’s Growing Financial Strain

Near Retirees Being Targeted by Imposter Social Security Administrators ‘Long cons’ are becoming more frequent as scammers go after retirement savings, according to a warning from the Office of the Inspector General.

Vanguard Removes Oaktree From $785M Fund The asset management behemoth reallocated Oaktree’s advisement to two other current managers of the emerging market fund.

Top Advisers: Diligence About 401(k) Plan Litigation as Crucial as Ever Plan advisers share their expertise on what types of plans are most at risk for 401(k) litigation and how they assist clients.

Industry Intel Roundup Featured Webinars PLANADVISER is pleased to present the next edition of our Industry Intelligence roundup. This week, we are featuring webinars sponsored by or featuring experts in the industry. The content was created to supply actionable insights to retirement plan advisers regarding client service and practice management. Sponsored by Principal | June 24, 2025 Pension risk: Strategies to help manage market volatility In recent years, many defined benefit plan sponsors have maintained significant allocations to equity investments, experiencing asset growth. Now, as market volatility threatens funding ratio gains, it’s important to consider strategies to help lock in DB plan funding gains and reduce investment risk. Get perspective and insights from defined benefit leaders as they discuss: • What to consider when implementing or adjusting a liability-driven investing (LDI) strategy • When pension risk transfer (PRT) may be an option • How consolidating services with one provider could help improve risk alignment In a challenging time for pension plan management, you can prepare to de-risk when the timing is right. September 10, 2025 Retirement Income Experts will share data about retirement income solutions for employer-sponsored defined contribution plans and discuss what is still needed to meet the needs of plan sponsors and participants. Hear how retirement income solutions have evolved and bring your questions. December 10, 2025 Year in Review Some of the top advisers of 2025 discuss their successes and challenges during the year. They’ll share their thoughts on changes in the retirement plan industry and what they’ve learned that could be helpful in the year ahead. June 11, 2025 Retirement Plan Advisers of the Year in Conversation 2025 Retirement Plan Adviser of the Year finalists and winners will talk about retirement plan sponsor and participant service, improving retirement plan access, mentoring and promoting equity in the adviser industry. Join us with your questions. Sponsored by Commonwealth | June 10, 2025 The 4-1-1(k): A SECURE 2.0 Provision’s “Grand” Impact on Emergency and Retirement Savings How big of a difference can $1K make? For retirement plan engagement, the answer could depend on how well RPAs and recordkeepers understand and communicate the relationship between short-term and long-term savings to plan sponsors and their benefit-eligible employees. Under the SECURE 2.0 Act, employees can withdraw up to $1,000 once a year from their traditional 401(k) retirement accounts for self-identified emergencies, without paying the 10% early withdrawal tax. Research and thought leadership from Commonwealth, BlackRock’s Emergency Savings Initiative, Compass Financial Partners, a Marsh & McLennan Agency LLC Company, and Voya Financial sheds light on the wide-ranging needs of employees in a geographically diverse workforce, and how a suite of emergency savings and liquidity options can best serve workers, and where the new provision fits into those options. This webinar will: ● Dive into the impacts of SECURE 2.0’s $1K withdrawal provision on retirement plan engagement ● Share the RPA and recordkeeper's points of view on the implementation and impact of emergency savings benefits ● Provide tangible action steps for attendees to consider adopting a proactive provision promotion approach for their teams All views and opinions expressed by panelists are their own and are not intended to be those of sponsoring or partner organizations.

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