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Investment Product and Service Launches
BNY Mellon expands investment lineup with ETFs, and American Century launches actively managed ETFs.
OneAmerica Waives Hardship Fees
The recordkeeper is making the move in response to the CARES Act.
Securian Waives COVID-19 and Hardship Withdrawal Fees
The firm is also offering free fiduciary and wellness services to employers.
Bear Markets and DC Plan Drawdown Strategies
One silver lining in the economic fallout of the coronavirus pandemic in the United States is the opportunity to re-educate people about risk and the role of guarantees.
Nationwide Announces CARES Act Transaction Help for Participants
Fee waivers, accelerated processing and educational resources are being offered.
Parties Agree to Settle JPMorgan Self-Dealing Suit
The case in one in a string of lawsuits in which plaintiffs argued the company’s 401(k) plan fees were not properly controlled and that conflicts of interest damaged...
eMoney Advisor to Offer Free Financial Planning
The firm says it hopes to help clients and participants during the coronavirus pandemic.
Clients Must Treat Layoffs and Furloughs Carefully
The IRS may determine that a ‘partial termination’ of a plan has occurred if a company undergoes sizable layoffs—but not furloughs—potentially impacting vesting schedules and other aspects of...
Advisers Giving Back: Pensionmark
One charity program Pensionmark supports is Partners in Education, which pairs young people with mentors from the business community to help them prepare for internships and first jobs.
What to Expect in an SEC Regulation Best Interest Inspection
Two new risk alerts published by the SEC provide broker/dealers and advisers with advance information about the expected scope and content of the initial examinations for compliance with...
Transamerica Announces Coronavirus-Related Help for Clients
The firm has established a dedicated team to support participants who are considering accessing their retirement savings to meet their short-term financial challenges related to the pandemic.
John Hancock Waives COVID-19-Related Retirement Plan Fees
In addition to waiving fees related to participant hardship withdrawals, the firm is suspending fees for plan amendments made in response to the pandemic.
A Brave New Fiduciary World
The response of advisers to the coronavirus pandemic can provide a concrete illustration of how fiduciaries now function.
PCS and Envestnet Pair to Deliver Turnkey Plan Management
Through the new ManagedPlan solution, the PCS Retirement recordkeeping platform will be fully integrated with Envestnet's wealth management platform.
Mercy Health Gets a Victory in Church Plan Lawsuit
While an appellate court ruled that Mercy Health's pension plan is a church plan exempt from ERISA requirements, a district court must determine whether ERISA's exemption violates the...
InvestorCOM Launches Reg BI Compliance Platform
The SEC has confirmed that the COVID-19 pandemic will not halt the implementation of the SEC’s Regulation Best Interest, which has a general compliance date of June 30.
Principal Offers Cost Relief to Plan Sponsors and Participants
In addition to waiving transaction fees for participants, Principal is waiving fees for certain retirement plan amendments.
Template Library Launched by Pivirotto Resource Group
“There’s a gap in the market where the solo adviser or small office is trying to create their own marketing, sales, and service process documents,” says Sharon Pivirotto.
First Time Advising in a Bear Market?
It’s easy to tell clients their accounts have grown by leaps and bounds, but helping them calmly navigate a severe and sustained market downturn is another matter.