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Expect More ESG Investment Options Next Year
The move by the Thrift Savings Plan to add sustainable funds into its lineup next summer will likely cause private companies to follow suit, experts say.
Investment Product and Service Launches
Fiduciary Insurance Services to provide annuity evaluation services; Alegeus partners with CAPTRUST on new HSA solution; and Cabana launches new ETF suite with ETC.
Practice Progress: SEPs, SIMPLEs and More: Growing a Practice With Smaller Clients
A PLANADVISER webinar underscored key plan design offerings when working with smaller plan clients.
Koch Industries Agrees to $4 Million Settlement of ERISA Excessive Fee Suit
The settlement includes a stipulation to perform a recordkeeper RFP.
Vestwell Managed Account Platform Helps Advisers Meet Needs in Small Plan Market
The platform uses Franklin Templeton’s Goals Optimization Engine and helps advisers provide an offering to small DC plan sponsors and participants in a cost-efficient way.
How Leaders Are Addressing the Adviser Gender Gap
Although they make up more than half the population, currently less than 20% of financial advisers are women. This raises the question of just what is so unwelcoming...
Retirement Industry People Moves
Advisor Group selects business development VP; Principal announces new chief information officer of retirement and income solutions; Cobbs Allen expands into 401(k) business with new hire; and more.
Wirehouse Advisers Less Satisfied Than Others
In a J.D. Power survey, independent advisory firms were more likely to have a higher satisfaction score than employee groups.
Producers Beware: More States Adopt NAIC Annuity Suitability Framework
Earlier this month, Alabama became the 13th state to adopt enhanced consumer protections for purchasers of annuities, based on a framework put forward by the National Association of...
GAO Studied Retirement Plan Climate Change Risk Assessments
The agency recommended that the Federal Retirement Thrift Investment Board (FRTIB) evaluate the risk of climate change on the Federal Thrift Savings Plan (TSP)'s investment offerings.
A Few Key Lessons to Learn From Wealth Managers
Guidance about investing and the accumulation of assets is only the beginning of genuine financial planning—a fact that has already been embraced by forward-thinking wealth managers.
A DOL Fiduciary Rule and PTE Refresher
No matter if an adviser is a flat-fee registered investment adviser or a commission-based broker/dealer, the DOL says the collection of compensation related to rollover guidance is almost...
$5.4 Million Settlement Negotiated in Transamerica ERISA Suit
The settlement agreement also calls for continued fiduciary training for trustees and continued use of an unaffiliated investment consultant.
Investments | Participants
Wealth Transfers on the Horizon
Emerging affluent investors may reshape some advisory shops.
Investments | ESG
The Promise of Sustainable Investing
Getting past misconceptions to help advisers and their clients leverage ESG.
Trends
Benefits for an Uncommon Group
The adviser industry must evolve to effectively serve the gig workforce—a growing segment of employees who need help with financial planning and with saving for retirement.
ERISA vista
Rollovers and Fiduciaries
Recent DOL guidance expands the definition of fiduciary advice.
Mixed Ruling Issued in MetLife Mortality Table ERISA Lawsuit
The retirees’ main claim is that the plan’s use of mortality tables from 1971 and 1983 to convert default retirement benefits into the alternative benefits that they opted...
Health, Family, Purpose, Finances: ‘The New Four Pillars of Retirement’
Edward Jones and Age Wave say advisers should take a new approach to working with retirees by helping them determine what they want to do when they stop...