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Panelists at the CFP Board’s Diversity Summit provided insights into how financial planners and advisers can reach disadvantaged communities.

CAPTRUST adds Leddy as chief compliance officer; Voya hires Harrell as regional vice president; MissionSquare names Whiting SVP, chief sales officer; and more.

Panelists discuss how new ESG issues will inform investors’ focus and opportunities going forward.

The data inform potential withdrawal liabilities and benefit transfer amounts under ERISA.

ESG experts discuss the current regulatory and business landscapes regarding ESG reporting and investing.

CoreData finds that 50% of respondents named fixed income as their preferred asset class for risk-adjusted returns—in part due to growing fears of a tech stock bubble.

Alight Solutions’ 401(k) index also revealed 14 of the month’s 22 trading days favored fixed-income funds.

The firm’s RIA benchmarking survey revealed a drop in new client assets and identified an opportunity to be more ‘proactive’ as clients seek holistic services.

OneDigital advisers will use Simply Retirement by Principal, with the goal of streamlining the process of setting up a retirement plan for businesses with fewer than 100 employees.

Terminology intended to create system to communicate responsible investment practices accurately and consistently, according to CFA. 

While open enrollment season is generally seen as too crowded to push 401(k) saving, it is a time for many advisories to engage participants on general finances, planning...

Only two received a gold rating among the 54 tax-advantaged education saving plans assessed.

30% of pre-retirees said credit card debt is putting post-work plans on hold, according to a new study by ScoreSense, with medical debt another major culprit.

The proposal would make one-time advice for rollovers subject to ERISA.

Retail annuity sales hit $89.4 billion in Q3, while deferred income annuity sales reached $950 million, according to LIMRA.

The Department of Labor’s defense continues on two tracks, one in Wisconsin, and 2another in the 5th Circuit.

Centro API integration; MassMutual announces new fixed deferred annuity; American Trust Wealth launches mobile app, client portal; and more.

The SEC charged the firm with inaccurately describing a business in which it held $75 million in debt.

DeVoe’s Q3 M&A report shows overall dealmaking in the advisory space is trending toward a down year, with the retirement sector an outlier both in number and size.