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Compliance News
Legislative and Judicial Actions
FINRA Share-Class Sweep Highlights Importance of CooperationThe Financial Industry Regulatory Authority (FINRA) announced the final results of its mutual fund waiver initiative—the agency’s aggressive multiyear effort to ensure...
Investment Focus
TDFs Help Boost Balances
The key is their diversification and participants' tendency to remain invested
Practice Development
The Word About Newsletters
They are a great way to stay in touch with participants, particularly for advisers to large plans
Editor’s Letter
Drawing Attention
Celebrating the good works of advisers who give back to their communities
Retirement Industry People Moves
Franklin Templeton Adds National DC Consultant; Schroders Grows West Coat Presence with Two Hires; Voya Hires Regional VP of Sales; and more.
Investment Product and Service Launches
LifeYield creates alliance with software-based service organization; Dimensional announces new Investment Solutions Group; Vanguard reopens funds and broadens access to others; and more.
Cybersecurity Is About Protecting Clients—and Your Practice
One element of the cybersecurity discussion that is often overlooked is that the biggest threat to many advisory firms is not actually to client accounts but instead to...
HSAs, FSAs and HRAs: Get to Know the Health Savings Alphabet
The account types differ quite a lot. Some require same-year spending, most are owned by the employer, and one comes with a triple tax advantage.
St. Elizabeth’s Wins Suit Challenging Church Plan Status
Using other court decisions, including one from the Supreme Court, the medical center's plan was found to fall under the "church plan" definition in ERISA.
DOL Issues Final Association Retirement Plans Rule
In addition to the final ruling, the department has also released a 16-page request for information (RFI) on open MEPs.
Helping Participants After They Have Taken Hardship Withdrawals
Participants who have taken a hardship withdrawal are nearly three-times more likely to feel “always” stressed in general and three-times more likely to have “a lot” of stress...
Industry Groups Object to Massachusetts Fiduciary Proposal
The Financial Services Institute and the Insured Retirement Institute have both published open letters opining against ambitious conflict of interest regulations proposed in the state.
Retirement Industry People Moves
T. Rowe Price adds senior DC adviser strategist; GW&K introduces New VP for Global Equity; Eagle Asset Management names portfolio manager for active equity strategies; and more.
Women Investors Less Financially Prepared than Men
They are also less optimistic about the U.S. stock market and economy, according to a Nationwide survey.
Like Their Clients, Advisers Display Many Biases
Advisers are used to addressing their clients’ behavioral biases when it comes to market risks and returns, but a new white paper suggests they need to do more...
Retirement Industry People Moves
Milliman adds regional manager for benefits sales; American Century Investments adds hires for Avantis Investors; RiskFirst builds NYC software development office; and more.
Retirement Readiness From a Global Perspective
Advisers across the developed world adhere to similar philosophies and policies when it comes to helping people plan for retirement.
FINRA Share Class Sweep Highlights Importance of Cooperation
The regulator granted significant credit for “extraordinary cooperation” to those firms which were proactive in identifying and fixing issues related to fee waivers for certain mutual fund share...
SunTrust Wins Narrow Summary Judgement in Long-Running ERISA Suit
A federal court has rejected the argument that defendants were aware that their predecessor fiduciaries had breached their duties in selecting affiliated funds and thus that they breached...
Global Atlantic Launches Retirement Income Education Resource for Advisers
It helps educate advisers on how to discuss income planning with clients.