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Retirement Industry People Moves
T. Rowe Price expands sales and consultant relations team; HUB hires retirement and private wealth CIO; WFAM to be rebranded as Allspring Global Investments; and more.
Women’s Retirement Protection Act Reintroduced in Congress
Democratic lawmakers in the House and Senate say the bill is needed to help address longstanding retirement insecurity issues—and to address some of the negative impacts of the...
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...
Retirement Industry People Moves
FuturePlan by Ascensus expands sales team; TRA acquires St. Louis-based firm; Goss Advisors appoints business development director; and more.
Retirement Industry People Moves
Luma hires annuities sales director; PBGC appoints new chief policy officer; OneAmerica selects RM leaders; and more.
New WIPN Research Compares ‘Advocates’ and ‘Mentors’
Mentors are like gurus—they are critical sources of information and inspiration—but the group says a true workplace ‘advocate’ can do a lot more to help people from underrepresented...
Serco Settles Excessive Fee Case for $1.2 Million
The class action lawsuit had charged the Navy defense contractor with selecting higher-cost mutual funds when cheaper options were available, and with allowing excessive fees in its 401(k)...
Retirement Industry People Moves
LifeYield appoints Merrill Lynch executive; Edelman Financial Engines acquires Viridian Advisors; Alerus selects retirement sales consultant; and more.
Retirement Industry People Moves
Carillon names new president; ProNvest announces hires dedicated to business development; Russell Investments announces several new hires; and more.
DOL Investigation Lessons Learned From Long Experience
Drawing on their collective decades of experience working inside and outside the DOL, a panel of expert ERISA attorneys convened this week by Faegre Drinker had a lot...
Compliance News
Legislative and Judicial Actions
States updating annuity standards; Senate confirms a Labor secretary; GAO presses the DOL to clarify cybersecurity guidance; and more.
Gary Gensler Confirmed by Full Senate Vote as SEC Chair
He takes the helm at the Securities and Exchange Commission during a key time of transition and reflection for the market regulator, which is engaged in multiple important...
Retirement Industry People Moves
CFP Board names new D&I director; T. Rowe Price Retirement hires senior sales executive; Mid Atlantic Acquires PensionPro; and more.
IRS Announces FY 2021 Examination Priorities
RMDs in large DB plans and participant loans are among the items the agency says it will target in compliance initiatives.
Retirement Industry People Moves
OneAmerica hires industry veteran for East Coast sales territory; Ameritas announces new officer elections; AIG Retirement Services names new hires to consultant relations team; and more.
More Retirement Plan Practices Are Seeking Out Diverse Advisers
Firms say adding diverse advisers will help their businesses grow and help them attract new customers.
SEC Seeks Public Input on Climate Change Disclosures
The commission aims to determine if the current disclosures adequately inform investors.
15th Anniversary of RPAY: Christopher Kulick
In the three years since winning the award, Kulick says his practice has deepened its client relationships while increasing capacity for business development.
Reading Into the SEC’s 2021 Enforcement Priorities
The ongoing implementation of Regulation Best Interest gets top billing in the SEC’s recently published 2021 examination priorities list, though recent evidence suggests the regulator’s focus on share...