Search results for: acts 19
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Allianz Self-Dealing ERISA Suit Survives Dismissal Attempt
In a complex but informative ruling, a federal judge describes why many aspects of an ERISA complaint leveled against Allianz Asset Management should be allowed to proceed to...
Retirement Industry People Moves
Voya hires retirement strategist; Multnomah Group hires new consultant; TIAA moving forward with EverBank acquisition; and more.
research
2016 PLANADVISER Recordkeeper Services Guide
Scaling the Facts: Understanding adviser-sold recordkeepers
Technical Updates to Fiduciary Rule ‘BIC’ Published by DOL
The DOL published a pretty substantial list of technical corrections to the Best-Interest Contract Exemption—including mostly minor clarifications but also a few potentially substantial adjustments.
Benefits Interference Claims Against Allstate Move Forward
After 16 years, a court has consolidated and moved forward ERISA claims of agents who had their employment status changed by Allstate.
Retirement Industry People Moves
Firms Combine to Create Pavilion Alternatives Group; Nationwide Names Head of Investment Strategies and CIO; Northern Trust Names Global Head of Consultant Relations; and more.
Mandatory RIA Succession Planning in the Works at SEC
The Securities and Exchange Commission is proposing a new rule and rule amendments under the Investment Advisers Act of 1940 aimed at bolstering advisory industry succession planning.
Schwab Advisor Services Outlook Measures RIA Optimism
Interviews with nearly 1,000 independent advisers who custody assets at Schwab show significant optimism about growth opportunities for registered investment advisers.
Lehman Brothers Again Found Not Liable in Stock Drop Suit
The 2nd Circuit used the same logic in prior decisions to determine plaintiffs had not proven Lehman plan fiduciaries violated the Employee Retirement Income Security Act (ERISA).
A Second DOL Fiduciary Rule Court Challenge Emerges
The National Association for Fixed Annuities filed a complaint in district court to “challenge and vacate the Department of Labor’s final fiduciary regulations.”
Investment Product and Service Launches
Oppenheimer unveils new infrastructure fund; Morningstar acquires fixed-income analytics firm InvestSoft Technology; Cohen & Steers named adviser to new SEI fund; Hartford Funds partners with Schroders to expand...
Asset International Adds Two Market Intelligence Firms
The acquisition of Market Metrics and Matrix Solutions from FactSet will broaden AI’s portfolio of proprietary data and business intelligence capabilities for advisers and asset managers.
What Does 'Self-Service' Mean to Investors?
New polling from J.D. Power explores the similarities and differences among groups of “self-directed” investors.
Data Supports Need to Save More for Retirement Health Costs
Employer-sponsored retiree health benefits are disappearing, an analysis finds.
CFA Survey Finds Stubborn Pockets of Robo-Resistance
A little more than six in 10 CFA charter holders say they have some familiarity with automated financial advice tools, “implying a fairly high level of awareness overall.”
Will DOL’s Softer Fiduciary Rhetoric Pan Out?
Given how prone the Labor Secretary and other DOL officials are to cite severe negative impacts of conflicted retirement advice on average Americans, some advisers are surprised (and...