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Weekday news and analysis for retirement plan advisers
Wednesday, October 27, 2021
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Could This Be a DOL ESG Framework That’s Here to Stay?
In addition to the important practical takeaways of the DOL’s proposed rule on ESG investing and proxy voting, sources say the potential impact and what the department is signaling with the proposal are enormous.
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Data & Research
Morningstar Finds ESG Funds Are More Expensive Than Conventional Funds
In general, fund fees continue to decline, including those of actively managed funds.
Today’s Most Read
1. The 2022 Retirement Landscape Takes Shape
2. Asset Managers Weigh In on DC Plan Investment Trends
3. Launch Announced for MarylandSaves State-Run Retirement and Emergency Savings Program
Sponsored by Natixis Investment Managers
Sustainable investing. Built for business.
ESG investing is about wisdom and smart choices. And strategies aimed at managing risk, uncovering opportunities, meeting mandates, and reaching financial goals. >Discover how ESG Means Business.
Walgreen Co. Agrees to Settle Suit Challenging Underperforming TDFs
The challenged target-date funds have already been taken out of the plan, and the defendants have agreed to pay $13.75 million into a settlement fund.
Fidelity Program Aims to Facilitate Easier Wealth Transitions
Fewer than four in 10 advisers say they have a successful track record of partnering with their clients’ children or spouses on successful wealth transitions, meaning the stability and longevity of many advisers’ practices may be in question.
Provider Recommendations
Does relying on certain ‘go-to’ providers have implications under ERISA?
Market Mirror Market Mirror Graph

Tuesday, the Dow closed 15.73 points (0.04%) higher at 35,756.88, the Nasdaq was up 9.01 points (0.06%) at 15,235.72, and the S&P 500 inched up 8.31 points (0.18%) to 4,574.79. The Russell 2000 lost 16.56 points (0.72%) to finish at 2,296.08, and the Wilshire 5000 increased 12.52 points (0.03%) to 47,560.57.

The price of the 10-year Treasury note was up 2/32, decreasing its yield to 1.612%. The price of the 30-year Treasury bond increased 31/32, bringing its yield down to 2.040%.

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.
2021 Practice Progress Series: Steps to Advance Diversity in the World of Finance
Successful advisers say mentorship is a key to solving the industry’s clear and present diversity problem. There are other strategies that work as well, including creating compensation frameworks that take into account the challenges of moving from a salary or hourly-based position to a job frequently involving commissions and potentially complex, incentive-based pay structures. This hourlong editorial webinar will examine these and other important topics meant to help advisers address the lack of diversity in the financial advisory field.
Sponsored by State Street Global Advisors
Managing the Squeeze: How Advisors Can Navigate a Compressing Industry, Build Firm Value and Prepare for the Future
The meeting of market conditions and appetite has led to 2021 being the busiest period in retirement advisory firm M&A history, with more than 45 deals already completed heading into the fourth quarter. In this webinar, hear how to leverage this trend and what to expect in 2022. Our expert panel, representing multiple industry perspectives, will discuss: Drivers of retirement and wealth industry consolidation Best practices from active acquirers Impacts to independent firms Opportunities for building firm value from within
Sponsored by American Century Investments
Washington DC Update with Brad Campbell
In year one of the Biden presidency, the administration moved quickly to chart its own course on the retirement landscape. Join our discussion as ERISA expert Brad Campbell shares the very latest on major topics with important implications for plan fiduciaries: ESG Investments in Retirement Plans SECURE Act 2.0 Tax Proposals Affecting Retirement Benefits The Fiduciary Rule
Sponsored by Allspring
Change is Coming – Are You Ready? Learnings from recent survey results
Nearly 330 plan sponsors were surveyed on plan and participant needs with results highlighting new trends and specific actions advisors can take to increase plan sponsor satisfaction. Join Ron Cohen and Gary Shipper from Allspring Global Investments as they highlight findings from our new Science of Satisfaction survey and share new insights that you can use in your practice to demonstrate your value, increase your effectiveness, and retain and grow your most valuable relationships. Key trends of discussion: -What impact did the COVID-19 pandemic have on plan sponsors, and what changes would they like to make going forward? -How satisfied are plan sponsors with their advisors? What steps can advisors take to help ensure sponsor satisfaction? -What are the emerging trends most important to advisors? -What do sponsors think are of highest importance to employees? How can advisors help sponsors achieve their goals?
2021 Practice Progress Series: How Has the PEP Marketplace Developed in Year One?
The topic of pooled employer plans (PEPs) has been in the headlines of PLANADVISER Magazine and since the passage of the Setting Every Community Up for Retirement Enhancement (SECURE) Act in late 2019. With the formal launch of the PEP marketplace in early 2021, this webinar will offer a chance to take stock of how much progress has been made so far. We will examine which PEPs and pooled plan providers (PPPs) are finding early success, and why they are standing out. And, as always, we will consider what comes next.
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