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Weekday news and analysis for retirement plan advisers
Wednesday, November 30, 2022
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Advisers Should Comment, Prepare Vendor List Ahead of SEC Outsourcing Rule
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Investment and retirement advisers—especially smaller shops—should take the time remaining to provide their feedback about the SEC’s proposed outsourcing rule, according to consulting firms.
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Compliance
Fitch: SEC “Crack Down” on ESG Greenwashing to Continue
Retirement plan advisers should be aware both of SEC charges against those offering ESG funds, as well as the new DOL rule paving the way for ESG use in retirement plans, a consultant advises.
Today’s Most Read
1. Delta Taps Fidelity to Run New Emergency Savings Program
2. SECURE 2.0 Error Threatens Catch-Up Contributions, but Meaning Is Clear
3. Small Businesses and SECURE 2.0: Exemptions and Tax Credits
What Do the Mid-Terms Mean for ESG and SECURE 2.0?
ESG-minded investors have cause for concern, as Republicans prepare to take control of the House.
2022 PLANADVISER Retirement Plan Adviser Survey
The 2022 PLANADVISER Retirement Plan Adviser Survey captures adviser insights about industry decision-drivers, as well as assessments of investment managers, mutual funds and defined contribution (DC) plan recordkeepers.
Webinar: Wealth Management in a Retirement Plan Practice
Join PLANADVISER on December 13 as a panel of industry experts discuss why wealth and retirement belong together—or do they?; how wealth management can be fit into an advisory firm’s service offering; how to approach revenue opportunities in wealth management, and more.
Industry Intel Roundup
Featured Webcasts
PLANADVISER is pleased to present the next edition of our Industry Intelligence roundup. This week, we are featuring webcasts sponsored by experienced providers in the industry. The content was created to educate, inform and offer ideas for plan sponsors regarding plan design, investing, administration and compliance.
2023 PA Practice Progress Webinar Series: Advisory Business Models/M&A
Advisory firm mergers and acquisitions have been happening at a fast clip. Many retirement plan advisory firms have decided that wealth management has a place in their business, and vice versa. Additionally, more practices are moving beyond just advising on investments and plan design and are working directly with individual participants and consulting on benefits such as health or emergency savings plans. Join PLANADVISER for a discussion about the state of the retirement plan advisory industry, how adviser roles are evolving and what aggregator firms can (and cannot) offer advisers.
2023 PA Practice Progress Webinar Series: Team Building
Assembling the right team and ensuring each member has a path to grow is essential to boosting an advisory firm’s success. Recently, firms have sought to improve staff diversity, and some research shows a more diverse team contributes to stronger business results. Join PLANADVISER’s third iteration of its 2023 Practice Progress webinar series to learn the value of mentorship programs and how to establish one, optimal practices for developing diverse teams and how to define success for an advisory team and its members.
2023 PA Practice Progress Webinar Series: DCIO
During a gathering of advisers and providers last year, speakers discussed how defined contribution investment only is out and co-distribution is in. Adapting to a changing marketplace, through more personalization and partnerships, is critical for advisers. Join PLANADVISER for a discussion about the future of DCIO firms and strategies, the important role partnerships can play and how some firms are assigning more specialists to a relationship, serving clients at all levels.
2023 PA Practice Progress Webinar Series: Participants
What do participants want from retirement plan advisers? How can advisers best meet their needs? As retirement plan advisers work more closely with participants and perhaps add wealth management to their practices, what do they need to keep in mind to fulfill their fiduciary duties? These questions and more will be answered in the final webinar in PLANADVISER’s Practice Progress series for 2023.
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