Search results for: a
FINRA Project Examines How Regulators Can Support Diversity
Suggestions from the industry include eliminating the 180-day enforced waiting period triggered by a third failed ‘top off’ examination, involving community colleges in the licensing process and making...
Paper Offers Tips for Incorporating ESG Investing in DC Plans
DCIIA says it aims to provide practical steps consistent with fiduciary obligations.
Public Plans Database Now Includes DC Plan Information
Users can get information on DC assets, membership, investment options, contributions, plan types and provisions.
Calling SEP IRA, SIMPLE IRA, and Solo 401(k) Administrators!
Contact the PLANSPONSOR/PLANADVISER Research and Surveys team to learn more about how to be included in our 2021 Small Plan Services Guide.
A Markedly Positive Mid-Year Market Check-In
Millions of jobs have returned as the country has reopened, thanks to the positive impact of the COVID-19 vaccination program, but as the U.S. enters the second half...
Women in C-Suite Roles Remain Scarce, Even as More Enter Financial Services
Firms must take concerted action to prepare, train and promote more women to senior leadership roles.
Producers Beware: More States Adopt NAIC Annuity Suitability Framework
Earlier this month, Alabama became the 13th state to adopt enhanced consumer protections for purchasers of annuities, based on a framework put forward by the National Association of...
GAO Studied Retirement Plan Climate Change Risk Assessments
The agency recommended that the Federal Retirement Thrift Investment Board (FRTIB) evaluate the risk of climate change on the Federal Thrift Savings Plan (TSP)'s investment offerings.
A Few Key Lessons to Learn From Wealth Managers
Guidance about investing and the accumulation of assets is only the beginning of genuine financial planning—a fact that has already been embraced by forward-thinking wealth managers.
IRS Considering Whether Physical Presence Requirement Relief Should Be Permanent
The agency has again extended relief previously provided from the physical presence requirement for participant elections required to be witnessed by a plan representative or a notary public.
Balancing Health Care and Finances
Improving health care literacy can help employees make the right financial decisions.
Retirement Industry People Moves
FuturePlan by Ascensus expands sales team; TRA acquires St. Louis-based firm; Goss Advisors appoints business development director; and more.
A DOL Fiduciary Rule and PTE Refresher
No matter if an adviser is a flat-fee registered investment adviser or a commission-based broker/dealer, the DOL says the collection of compensation related to rollover guidance is almost...
Helping Near-Retirees Stay on Track for Retirement Security
It can be tempting for those nearing retirement to turn to equities in a last ditch effort to improve retirement savings, but certain communications and plan design features...
Firm Launches TPA Focused on Public Plans
It plans to offer a centrally managed platform for education and participant support.
$5.4 Million Settlement Negotiated in Transamerica ERISA Suit
The settlement agreement also calls for continued fiduciary training for trustees and continued use of an unaffiliated investment consultant.
Investment Product and Service Launches
Nationwide partners with AB to offer in-plan income guarantees; Voya’s new stable value solution offers manager diversity; Bloomberg and MSCI launch emerging markets ESG index suite; and more.
Judge Denies Dismissal of SERP Benefits Claim Suit
A former Nissan employee made a valid claim for benefits and did not fail to exhaust his administrative remedies, the court said.
House Committees Build Consensus on ‘SECURE 2.0’
As evidenced by Wednesday morning’s House Education and Labor Committee hearing, retirement security is a topic where strong bipartisan consensus is possible, even in an intensely divided Congress.
BPAS and MP Partnership Focuses on Integrated Technology Solutions
Both companies offer the option to customize and manage service providers across employee benefit, payroll and accounting services.