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Compliance Consult
Investment Advice Revisited
A new proposal introduces a broad exemption for advisers.
Winners’ Circle
Three Who Lead the Way
Past Retirement Plan Advisers of the Year discuss participant services.
Practice Management
Prospecting in Turbulent Times
Surprisingly, it may be a good time to win new clients.
Data Points
The Virtue in ESG Factors
These investing strategies reveal a rare source of rapid growth.
More Employers Including ESG Investments in Executive Compensation, Retirement Programs
Surveys find plan sponsors and participants have a growing interest in environmental, social and governance issues.
Financial Wellness Programs Can Ease COVID-19 Tensions
As the coronavirus pandemic continues to lead to an increase in financial concerns, a Retirement Advisor Council guide suggests key financial well-being strategies.
DOL Efforts Seem to Heighten Duties Before ESG Can Fly in Retirement Plans
Prior to the issuance of its proposed rule on ESG investing in retirement plans, the DOL sent letters to plan sponsors and CIT providers requesting information about ESG...
DCIIA Publishes First Paper in Series on Managed Accounts
The primer includes a review of the basics of managed accounts, a description of how they can be offered and considerations for determining if they are right for...
BTG International Agrees to Pay $560,000 to Settle ERISA Suit
The suit alleged excessive fees were paid to the recordkeeper of the company's 401(k) plan through undisclosed revenue sharing.
DOL Announces Hearing to Discuss PTE Proposal for Fiduciary Rule
The DOL is proposing a new prohibited transaction class exemption for investment advice fiduciaries.
Massive Teacher Retirements Could Hurt Pensions
It would increase public pension plans’ required contributions and result in lower contributions by members.
Retirement Industry People Moves
LeafHouse announces marketing and communications VP; Aegon AM selects global product head; Compass Advisors joins Vanguard’s Elite Advisor Program; and more.
More Teachers Are Leaving the Workforce
Many are considering early retirement or reducing their retirement savings.
iHeart 401(k) Plan Fiduciaries Targeted in Excessive Fee Suit
The allegations basically mirror those included in the long list of excessive fee suits filed.
Having Both a 401(k) and an IRA Leads to Higher Retirement Savings
The ratio of the combined 401(k) and IRA balance to the average 401(k) plan balance was 2.48.
Another Lawsuit Scrutinizes Use of Active TDF Suite in 401(k) Plan
Prime Healthcare Services is one of the latest targets of an ERISA 401(k) excessive fee suit.
DOL NPRM Addresses PEP Plan Provider Registrations
The SECURE Act allows pooled plan providers to start operating pooled employer plans beginning on January 1, 2021, but providers must register before operations can begin.
Alger to Launch Its First Set of Actively Managed ETFs
Brown Brothers Harriman & Co. (BBH) will be the custodian, administrator and transfer agent of the funds.
ShareBuilder 401k Announces Discounts on Safe Harbor Accounts
The offer will run until the October 1 safe harbor deadline.
Security Benefit Launches Retirement Plan Mobile App
The company is also offering a new platform that combines health and financial wellness.