PLANADVISER Weekend Newsdash
Week ending July 31st, 2020

Greetings loyal readers! Here at PLANADVISER Magazine, we are lucky to receive a regular flow of guest bylines written by some of the leading attorneys and executives in the retirement plan services industry. Appearing both in print and online, these guest articles are a fantastic complement to our normal editorial coverage. Collected below are some of our most recent guest bylines. We hope you find them helpful and consider sharing some of what you read with a client or colleague. Stay well!

Editor's choice
Client Relationship Summary
Form CRS must be delivered to a “retail investor.” There are two components to the definition of retail investor—that the investor: 1) must be a natural person or his/her legal representative, and 2) seeks to receive or receives services primarily for personal, family or household purposes. Read more >
Evaluating Reg BI Compliance
In a Risk Alert published by the Office of Compliance Inspections and Examinations (OCIE), that agency announced how it will be immediately investigating firms to evaluate Reg BI compliance.  Read more >
An Uptick in Customer Arbitration?
When there is a downturn in the markets, claims against broker/dealers (B/Ds) and investment advisers tend to increase. For example, 8,945 arbitrations were filed in 2003 in response to the declining markets associated with the “tech wreck.” As markets recovered, claims lessened and reached a low of 3,238 in 2007. In 2009, however, 7,137 arbitrations were filed, in the aftermath of the Great Recession. Read more >
Prepare to Meet the Needs of the Workforce of the Future
The way in which companies structure their remotely distributed workforces will depend on the financial consequences of the pandemic, the impact on corporate culture and other factors, such as the prevalence of gig work. Read more >
Consider How CITs Can Fit Into Your Practice
Collective investment trusts (CITs) can help clients address fee pressures, support an increased focus on fiduciary obligations, provide a means to build white-labeled investments and more. Read more >
Be Stronger in the Recovery
Todd Kading, president and co-founder of LeafHouse Financial, discusses the importance of flexibility and innovation when the tough times arrive. Read more >
MOST POPULAR STORIES
GKN Latest to Face Scrutiny Over GoalMaker Service

Though its GoalMaker portfolio management solution features prominently in the plaintiffs’ allegations, Prudential is not a party in the case.

Older 401(k) Participants Moving to TDFs More So Than Younger Participants

Participants in their 50s and 60s are using TDFs more than they have in the past, according to a new EBRI and ICI report.

New Benartzi Paper Dissects Narrow Framing Phenomenon

Would you accept a bet in which you win $200 if a coin lands on heads and lose $100 if it lands on tails? What if you could play twice?

Well-Funded HSAs Are a Retirement 'Superpower'

Having an HSA going into retirement is ‘incredibly powerful,’ experts say, because money is being saved and spent as efficiently as possible.

Retirement Industry People Moves

TIAA appoints chief brand and demand generation officer; BDO USA adds Lowery Asset Consulting; Morgan Stanley Investment Management bolsters sales leadership team; and more.

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