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Building Out Referral Networks
How should you ask your centers of influence for recommendations?
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‘Like’ Me
How to procure, and use, client endorsements to advertise your practice.
Complex Ruling Issued in Valeant Pharma-Linked ERISA Suit
The plaintiffs are employees and retirement plan participants at DST Systems who argue the defendants pursued ‘an exceptionally imprudent investment strategy’ with respect to a significant portion of...
Antitrust Issues Scuttled Aon-WTW Combo. What Comes Next?
Regulators cited the elimination of competition in filing a civil lawsuit to halt the union of Aon and Willis Towers Watson. As significant consolidation occurs across the financial...
A Managed Account Q&A With LeafHouse and iJoin
The firms, which collaborated to launch a new adviser managed account solution, say the retirement plan industry has both the capability and the obligation to close the workplace...
Advocates Applaud New Elder Justice Bill
The Elder Justice Reauthorization and Modernization Act of 2021 dedicates funding to programs to address vulnerable seniors’ needs, and its advocates say the financial services industry has a...
Form 5500 Can Be Skipped for Effective Year of Plans Adopted Retroactively
The IRS has addressed Form 5500 filing for plan sponsors that take advantage of the extended deadline for plan adoption provided by the SECURE Act.
ESG and Shareholder Rights Rule Under White House Review
The language of the regulation has not yet emerged, but the title published by the Department of Labor suggests it will address both ESG and proxy voting matters.
An ESG Refresher as DOL Makes Progress on New Regs
Industry experts are watching for the imminent filing of new Department of Labor regulations pertaining to the use of environmental, social and governance themed portfolios by tax-advantaged retirement...
Citgo Is Latest Large Employer Facing Actuarial Equivalence Challenge
The proposed class of plaintiffs alleges Citgo is using mortality assumptions that are at least 50 years out of date while converting from a pension plan’s standard annuity...
IRS Provides Guidance on New Funding Relief Rules for Single-Employer DB Plans
Among other things, it explains the manner and timing of making elections under the American Rescus Plan Act (ARPA), as well as the flexibility to redesignate contributions between...
ProCourse Fiduciary Advisors Acquired by MJ Insurance
Doug Prince will continue to serve as CEO of ProCourse after the acquisition, with the entire team of 13 remaining in the Carmel, Indiana, location.
‘Cautionary’ Messaging Prompts More Participants to Engage With Plans
However, a study found giving participants a view of retirement readiness progress as well as giving them a view of a retirement readiness shortfall resulted in increased intent...
T. Rowe Price CEO Change Reflects Financial Industry Trends
During a conference call held to discuss the pending retirement of Bill Stromberg, CEO of T. Rowe Price, leaders at the firm highlighted the growing importance of socially...
Scrutinizing TDFs and Considering Balanced Funds
Both options hold more than a trillion dollars in assets; weighing their relative merits remains an important task for advisers and their clients.
DOL Promises Final Rule on Lifetime Income Illustrations As Soon As Practicable
The agency clears up timing questions in a FAQs document and says it realizes the concerns about timing if its final rule differs from its previously published interim...
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...
ERISA Ruling in 5th Circuit Supports American Airlines Defendants
The appeals court has technically affirmed, vacated and reversed parts of a district court ruling that granted summary judgement against the plaintiffs; while this sounds like a mixed...
IRS Updates Employee Plans Compliance Resolution System
The agency has added two correction methods for overpayments by DB plans and expand the ability to correct an operational failure by plan amendment, among other things.