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SEC’s 2025 Exam Priorities Include Fiduciary Conduct, AI Use
The regulator also listed compliance procedures and Regulation Best Interest in its list of priorities published Monday.
World Investment Advisors Starts Custodial Relationship With Raymond James
The partnership comes after the company formerly known as Pensionmark acquired a $3.5 billion Raymond James firm.
Employers Seeking Better NQDC Participant Education
Surveying shows plan sponsors want executive compensation to help retain top talent but are often unhappy with the quality of participant outreach.
Cetera to Acquire $16B RIA From Insurer
For the fourth time in five years, Cetera makes a deal with an insurance and annuity provider—this time Protective Life—to acquire a multi-billion-dollar RIA subsidiary.
DC Plan Experts See Slow, Steady Progress in Plan Personalization
Solutions such as managed accounts and custom TDFs are evolving, but challenges to uptake remain, according to industry players.
PGIM, iJoin Partner on Managed Account Distribution
PGIM’s managed account solution will soon be an option on iJoin-enabled recordkeeping platforms.
NACC Launches PEP Solution for Cannabis Industry
Also, California Corporate Retirement Services announces a PEP to plan sponsor clients.
Sponsored by MetLife
Interest Grows in Finding New Uses for Stable Value
MetLife’s 2024 Stable Value Study found that defined contribution plan sponsors and plan advisers understand the benefits of stable value investments and are open to using the vehicles...
Sponsored by MetLife
College for Financial Planning Launches Accredited Investment Fiduciary Training Program
Fi360, a Broadridge Company, selected the College as the official education provider.
DOL Will Appeal Stay on Fiduciary Rule
The Department of Labor will ask the 5th Circuit to reinstate the fiduciary rule after it was blocked by two federal courts in Texas.
Rate Cuts and Retirement Saving
DC asset managers weigh in on what the Federal Reserve’s widely expected interest rate cut regime may portend for retirement plan investing.
Recordkeepers Ascensus, July Make Divisional Hires
Ascensus hires new nonqualified plan head from MassMutual; July hires national sales lead and promotes former sales director to lead third-party partner services.
Advisory M&A News – 8/19/24
NewEdge Wealth grows RIA footprint; Summit Trail adds 10th advisory office to national network; Avantax brings on adviser with $60M in client assets.
Retirement Industry People Moves – 8/16/24
World Investment Advisors hires CFO; The Standard hires Daniel Kretz as retirement plans VP for Maryland and D.C.; Mercer promotes Ben Kibbe to lead West region; and more.
SEC Fines 26 Firms for Off-Channel Client Comms Violations
The regulator continues a push to crack down on the tracking and use of ‘off-channel’ client communication, such as texting.
NFP Hires Adviser Calvelli to Retirement Group
Deana Calvelli will report to Joel Shapiro, head of retirement at Aon’s NFP.
Top Advisers: Diligence About 401(k) Plan Litigation as Crucial as Ever
Plan advisers share their expertise on what types of plans are most at risk for 401(k) litigation and how they assist clients.
Second US District Court Issues Stay of Retirement Security Rule
The Northern District of Texas quickly followed the Eastern by staying the Department of Labor’s fiduciary rule ahead of its September 23 effective date.
Retirement Industry People Moves – 7/26/24
Hartford Funds adds c-suite executives; Northern Trust names head of product strategy; SEI hires executive vice president; and more.
Wealth Enhancement Group Nearing $5B in Retirement Plan Coverage
The wealth and retirement plan advisory is leaning on its holistic plan offerings for current and future advisers.