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Compliance News
Legislative and Judicial Actions
Key legislation, regulations and litigation from Washington, D.C., and the courts.
Trends
Extraordinary Measures
The SEC’s relief package helps advisers keep operating, while the CARES Act eases access to retirement savings.
Winners’ Circle
Invested in Technology
Past Retirement Plan Advisers of the Year discuss their ‘tech support.'
Practice Management
Keeping Up With the Workplace
Black Americans need more representation in the financial advisory field.
Investment-Oriented
The Risks of DC Investing
Some risks are ‘participant experienced’ and some ‘participant controlled.'
Servicing Strategies
Hazard Prevention
403(b) sponsors may stave off lawsuits by cleaning up plan governance.
Micro Scope
Small-Plan Governance
Advisers can help with the functions of a committee—even a three-member one.
401(k) Plan Participants Say Fiduciaries Ignored Excessive Fees
The complaint says plan fiduciaries didn't look into lower-priced share classes, investment vehicles or passively managed funds.
Licensing Lawsuit Filed by SEI Global against SS&C Defendants
The complaint alleging abusive licensing practices was filed under seal in the U.S. District Court for the Eastern District of Pennsylvania and has only just been made public.
Retirement Industry People Moves
Man GLG announces head of Asia equities; Pacific Life adds sales SVP; Fiduciary Trust hires VP of client service team; and more.
Student Debt in the Time of Coronavirus
Retirement-focused financial advisers generally aren’t as informed about student loan debt as they are about health and wellness, but now may be the perfect time to change that....
Mutual of Omaha Waives Distribution Fees
It is the latest recordkeeper to waive fees because of the coronavirus pandemic.
Providers Seek to Set a Positive Tone Amid COVID-19 Pandemic
From big hiring plans to targeted fee cuts, retirement plan service providers are doing their best to help plan sponsor clients and intermediaries navigate this crisis.