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Trends
An ESG Framework Here to Stay?
The DOL’s proposed rule on ESG investing supports broader use of green options in retirement plans and removes barriers put in place by the prior administration.
Cover Story
A Shift in the Tech Landscape
The pandemic forces advisers to rethink their business models and integrate technology.
Practice Management | Diversity
Strength in Diversity
The business case for building a heterogeneous workforce.
Compliance News
Legislative and Judicial Actions
The DOL gives advisers a ‘grace month’ to comply with impartial conduct standards; the IRS ups the contribution limit by $1,000 for many DC plans next year; new...
Delta Air Lines Faces ERISA Actuarial Equivalence Pension Lawsuit
The complaint challenges the use of both allegedly outdated mortality tables and artificially high interest rate assumptions in the conversion of annuity types under multiple pension plans.
More Sponsors Seeking Expert Advisers
After a year of nuanced challenges, plan sponsors say they are looking to DC plan specialists for a broad spectrum of advice, and they want higher levels of...
2021 M&A Lessons Learned, and What Comes Next
Many firms that have acquired established retirement plan advisory practices primarily focus on wealth management or insurance, underscoring their interest in more diversified service models and in accessing...
Senators and Investment Group Push Back on DOL ESG Proposal
They say the latest proposed regulations ‘dismantle important actions’ taken by the previous administration and politicize retirement savings.
Retirement Industry People Moves
Hub International announces new acquisitions; Verus adds to its management committee; Cinctive Capital expands investment team; and more.
Investment Product and Service Launches
Alpha and Nasdaq extend relationship; OneAmerica launches new adviser managed account service; PGIM Investments launches new bond funds; and more
More Than One-Quarter of Employees Say Equity Compensation Will Help Them Meet Long-Term Goals
As employers feel increasingly responsible for helping participants with financial wellness, equity compensation is being viewed differently.
ERISA Suit Dismissal Shows How Claims Can Fall Short
The district court accepted a magistrate judge’s recommendation and dismissed the case based on the plaintiffs’ failure to state an actionable claim regarding the retirement plan fees they...
Investment Product and Service Launches
Vanguard announces plan to launch new China equity fund; Two Sigma and eVestment to partner through Venn; Fingage and OWL Analytics announce partnership; and more.
The 2022 Retirement Legislation Landscape Takes Shape
The SECURE Act became law at the very end of 2019, ushering in major changes for the retirement planning industry, and experts are again asking whether the close...
DOL Seeks Information From Alight Solutions About Cybersecurity Incidents
Alight has been sued by retirement plan participants whose accounts were hacked, and the Department of Labor is investigating the provider's practices.
Moving From Words to Actions on Diversity, Equity and Inclusion
Adviser industry professionals tasked with addressing the serious lack of diversity and inclusion in their field say the events of the past few years have helped supercharge efforts...
Differentiating ‘Diversity’ and ‘Inclusion’ Helps Address Both
One research report defines ‘inclusion’ as the degree to which employees are embraced and enabled to make meaningful contributions.
Creative Planning Acquires Dashboard Wealth Advisors
This is Creative Planning’s second recent deal, underscoring how adviser industry M&A volume continues at a rapid pace.
Retirement Industry People Moves
Portfolio Evaluations adds senior fiduciary consultant; Voya Investment Management to acquire Tygh Capital Management; and Alan Biller and Associates makes key promotions.
Adviser Apps Not Just a ‘Check the Box’ Item
Mobile applications have become an important part of the advisory client’s user experience and can potentially make a big difference on how a firm is seen.