Search results for: SCO

The registered investment adviser overbilled clients with custom rates by maintaining inadequate procedures, the SEC said.

A separate survey by F&G Annuities and Life found 44% of U.S. retirees have returned to work or are considering doing so.

Latest research found 45% of investors prefer an adviser affiliated with a national firm when they are nearing retirement.

Innovest adds Jansson as retirement plan consultant; Wealth Enhancements adds $341M First Capital Advisors; Latimer joins Steward Partners in Florida expansion push; and more.

An ERISA lawsuit alleging TDF underperformance by the asset manager for Cisco 401(k) participants has been dismissed.

A judge overseeing the complaint brought by a former pilot has set a potential trial date; the airline has said ESG-related investments were only available as a self-directed...

Newfront hires Sakata, Nelson to retirement services team; Bartlett joins Choreo as SVP of advisers; startup AdvisorCheck taps former RIA head Tam for CEO; and more.

Vanguard and BlackRock saw gains from passive mutual fund and ETF management, with JP Morgan gaining on active, according to Simfund data.

The new disclosure requirements for public companies will require time and resources to meet cybersecurity needs.

Distributions were down and hardship withdrawals were up, though overall saving rates remained steady, according to the bank’s latest participant research.

Industry experts seek scaling back of premiums as the pension insurance agency expects to remain solvent long into the future.

The OneDigitial retirement plan leader says the aggregator’s company-wide focus on the employee guides its strategic growth.

The proposal applies to the use of wide range of technologies, including predictive analytics, that might put the firm’s interests over the client.

LPL brings on $6.5B RIA; Sanctuary snags former UBS firm; Steward acquires Vantage Point from Merrill; and more.

Annual reports must include information on the issuer’s cybersecurity management and governance, and they must disclose material incidents within 4 business days.

The network started by Retirement Clearinghouse has many of the largest recordkeepers signed up to coordinate on retirement plan portability. Here’s how it works.

PRTs are trending upward, but their relationship with private equity and non-traditional investments is drawing more scrutiny.

An initial program targeting the midsize plan sponsor market saw 38% participant engagement.

The SEC chair said that an AI program that even accounts for the interests of the adviser could present conflicts of interest.