Search results for: divis lab
Advisers Giving Back: Ken Catanella and Challenger Baseball
From the moment Ken Catanella, managing director at the Catanella Institutional Consulting Team of UBS, came across a Little League Challenger Division game, he knew it was something...
Familiar Fiduciary Concerns Voiced as PEP Market Takes Shape
As with any type of innovation, it should be expected that the architecture, structure and governance of PEPs will likely change over time.
Another Self-Dealing ERISA Fiduciary Breach Lawsuit Filed
The lead plaintiff in the suit says her employer, a large financial services company, has inappropriately prioritized its own investments within a profit sharing retirement plan offered to...
What the SEC Thinks of Reg BI Compliance So Far
Staff members of the Securities and Exchange Commission share some words of wisdom for advisers and broker/dealers newly subject to the Regulation Best Interest framework.
Retirement Industry People Moves
OneAmerica adds regional sales director for Michigan clients; Dimensional Fund Advisors names capital markets head; Findley to join USI; and more.
Fear of Retirement Spending Worsened by Pandemic
Retired households with less than $200,000 accumulated in a DC plan at retirement tend to spend down only about a quarter of their assets during the first two...
Getting Income Projections Right
Retirement industry practitioners support the provision of mandatory lifetime income disclosures to plan participants, but they also emphasize the importance of broader income conversations and education.
Helping Clients With Part-Time Employee Inclusion in Retirement Plans
Counting hours, implementing cashouts and finding missing participants are some of the processes plan sponsors need to review for the SECURE Act's new requirement.
Salesforce Ruling Offers Key Lessons About Revenue Sharing, Fee Litigation
The dismissal ruling pushes back against overly broad claims suggesting that actively managed mutual funds and revenue sharing are inherently imprudent in qualified retirement plans.
UK Firm to Launch PEP Recordkeeping Solution in the U.S.
Smart says it supports advisers of all sizes and that its platform also facilitates the use of lifetime income in retirement plans.
15th Anniversary of RPAY: Pensionmark
Given the firm’s forward-thinking attitude, not all that much has changed since Pensionmark was recognized as the 2013 PLANSPONSOR Multi-Office Adviser Team of the Year, apart from the...
Excessive Fee Lawsuit Filed Against Duke Energy
The drumbeat of Employee Retirement Income Security Act (ERISA) excessive fee lawsuits rolls on.
AutoZone ERISA Suit Clears Motion to Dismiss
The district court declined to rule on the reasonableness of comparing actively managed funds to passively managed index funds on a motion to dismiss, clearing the way for...
Retirement Industry People Moves
QMA appoints new head of U.S. consultant relations; ABG expands to Midwest with Retirement Plan Consultants; The Wagner Law Group promotes ERISA attorneys; and more.
Investment Product and Service Launches
MATC releases portfolio gallery with global asset managers; Ascensus adds advice and managed accounts services; New York Life partners with Visual Capitalist on data visualization platform; and more.
UPS Defeats ‘Actuarial Equivalence’ ERISA Challenge
The defense has prevailed on technical grounds in a lawsuit that argues plan sponsors should be required to use fresh mortality and interest rate assumptions when converting between...
Advising Early Retirees on Money Management
Retiring early can be stressful for workers, but with help from advisers, it doesn’t have to be.
15th Anniversary of RPAY: Barbara Delaney
After exploring a number of large benefits firms that they thought could be potential purchasers, last September, the former PLANSPONSOR Retirement Plan Adviser Team of the Year closed...
SEC Charges VALIC Financial Advisors With Deceptive Sales Practics
The firm was also charged with mutual fund share class violations.
Retirement Industry People Moves
Tiedemann Advisors selects Family Governance head; Mutual of Omaha promotes national 401(k) sales director; Tech and client services head joins ICMA-RC; and more.