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Weekday news and analysis for retirement plan advisers
Wednesday, October 27, 2021
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COMPLIANCE
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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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. 6th Circuit Backs Defense in Fidelity Freedom Funds ERISA Suit
2. Olin Corp. Soundly Defeats ERISA Lawsuit
3. Senate Finance Committee Advances EARN Act
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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.
PLANADVISER Webinar – Financial Wellness sponsored by Betterment
This has been a tough year for U.S. retirement plan participants—and for workers in general. Heading into the year, core inflation was already running above 5%, and it has only spiked since. At the same time, geopolitical events have injected fresh uncertainty into what was already a frothy market, and most retirement investors have experienced substantial reductions in portfolio values. Investment managers say the markets will continue to grapple with the trade-offs between inflation and growth for the foreseeable future.
PLANADVISER Webinar Advisory Firm Culture sponsored by Wells Fargo Advisors
Adviser industry leaders engaged in merger and acquisition activity often say a target firm’s culture matters every bit as much as its financials. The topic of firm culture is likewise central to discussions about some of the adviser industry’s most pressing challenges and biggest opportunities. But what, exactly, is firm culture, and what does it take to build a positive and productive environment for staff and leadership alike?
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