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Consumer Protection Motivates Barbara Roper’s Move to SEC
SEC Chair Gary Gensler says her focus as a senior adviser will be on issues relating to retail investor protection, including broker and adviser oversight and examinations.
Retirement Industry People Moves
Rebalance hires retirement services director; Cuna Mutual Group selects new leadership; and TRA adds regional sales consultant.
SEC Eyes Data Collection Conflicts in New Comment Request
SEC Chair Gary Gensler says the emergence of new investment technologies that embrace gamification and collect user data raises questions as to whether investors are appropriately protected.
Chamber of Commerce Calls Out Flaws in Excessive Fee Suits
In a brief of amicus curiae filed in the suit against the Red Cross, the agency claims the suits are harming plan participants and asks the court to...
GAO Finds Most Participants Stumble Over Fee Disclosures
It has made recommendations to the DOL for helping plan participants understand and better use the information.
RIAs Leave NYC in ‘Mini Exodus’; More Move to Florida
The COVID-19 pandemic has presented an opportunity for firms to reconsider their physical footprint and relocate their headquarters to new areas that better suit their needs.
FT Social Security Optimizer Adds LifeYield Income Layers
The updated Franklin Templeton solution presents an easy-to-understand estimate of available income from different asset sources, while modeling an investor’s needs and goals over time.
Investment Product and Service Launches
SEI launches asset allocation-based models as part of ETF strategies; Vanguard adds active equity funds to Personal Advisor Services solution; and John Hancock introduces mortgage-backed securities ETF.
CAPTRUST Acquires Chicago-Based Ellwood Associates
A total of 55 Ellwood employees, including 46 consultants, will be joining CAPTRUST, including a seasoned team of investment consultants.
A Q&A With QMA’s David Blanchett
David Blanchett, QMA’s newest managing director and head of retirement research, talks about the evolving role of DC plans and workplace investing—including the interplay of target-date funds, personalization...
Stadion Technology to Provide Personalized Managed Accounts for Franklin Templeton
Stadion credits the rise in personalization as the motivation behind its partnership with Franklin Templeton.
Investors Favor DEI Investments
Participants in a Morningstar study showed a higher preference for socially responsible funds than they did for traditional investments.
Compliance Consult
Cybersecurity and ERISA
DOL guidance should prompt clients to ask for help with compliance.
Publisher’s Note
What Is Too Few?
In the aftermath of the Aon–Willis Towers Watson merger deal falling apart, it might be time to reflect on the industry.
Compliance News
Legislative and Judicial Actions
Financial assistance for multiemployer plans; faith-based entities may now benefit from the public student loan forgiveness program; FINRA project examines how regulators can support diversity; and more.
Trends
Participant Misperceptions
Distinguishing myth from reality can be hard when it comes to DC plans.