Search results for: SCO
Sellers’ Market Brings Succession Planning to the Fore
RIA industry analysts and executives agree that it’s a “sellers’ market” when it comes to acquisitions and mergers among independent advisory shops; they warn many potential sellers are...
Court Returns Mixed Ruling in Schwab ERISA Self-Dealing Suit
The detailed ruling comes after Schwab defendants moved to dismiss in part the plaintiff’s second amended complaint.
Senate Committee Fields Suggestions for Promoting Savings
Hearing witnesses discussed conducting a comprehensive review of the American retirement system, allowing for open multiple employer plans (MEPs), and changing certain defined contribution (DC) plan rules to...
CRR Report Quantizes Causes of Early Retirements
Changes in health commonly cause early retirements, according to CRR researchers, as do spousal retirements and marital status changes.
Investment-Oriented
Climate Change and ESG
The news drives interest in ESG, but the change to widespread adoption is slow
Practice Development
Your Message, Set in Film
Videos are a powerful way to communicate with participants
Plan Focus
Employer Contributions on the Rise
In 2017, companies contributed as much as their workers did to DC plans
Cover Story
Forward Focus
How offering 3(38) fiduciary services can help advisers declutter the investment conversation
What Is a DOL Adviser Investigation Like?
The number of Department of Labor investigations of financial advisers has steadily increased over the years; here is a primer on the DOL’s sources of authority, and what...
Retirement Industry People Moves
Murphy and Reynolds take new roles at Great-West; Retirement sales consultant joins TRA; ERISA industry committee appoints leaders; and more.
Bipartisan Retirement Enhancement and Savings Act Reintroduced in House
The bipartisan bill enjoys broad industry support; among other provisions, it would add flexibility for small businesses to join multiple employer plans.
B/D Attorney: Don’t Be Distracted by FINRA Examination Priorities Letter
Alan Wolper, an attorney with significant experience helping advisers and brokers navigate FINRA and SEC examinations, says the recently published FINRA 2019 priorities list is interesting, but ultimately...
Assessing Likely Impacts of IRS Hardship Withdrawal Rule Changes
New rules established by Congress and the IRS simplify the process for participants to request a hardship withdrawal of DC plan assets; some experts say this could increase...
Guardian Foresees Student Loan Repayment Programs Taking Off
Fifty-two percent of late Boomers say college debt is a major impediment to meeting their financial goals, while 38% of early Millennials and 32% of later Millennials say...
Retirement Industry People Moves
Multnomah Group expands consulting team; Ascensus selects regional VP for South Texas division; RVPs join CUNA Mutual sales division; and more.
Investment Product and Service Launches
Robeco adds sustainable equities model and Morningstar creates index group targeting low-carbon economy.
Former SEC Enforcer Reviews Regulator’s 2019 Agenda
During a webcast hosted by ACA Compliance Group, Allison Charley, a former SEC examinations office leader, explained the regulator’s internal process for picking audit targets; other speakers noted...
For Millennials, Market Volatility Can Bring Opportunity
While workers with nearer retirement dates fret stock market volatility, Millennials have the chance to buy discounted shares and enjoy compounding returns.