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SEC Settles Charges Against GWFS Equities for $1.5 Million
The Great-West Life affiliate was accused of violating the federal securities laws governing the filing of Suspicious Activity Reports.
Record Balances: DC Plan System Continues to Thrive
Fresh data shared this week by Principal and Fidelity shows defined contribution retirement plan balances have—yet again—reached record highs, but the data underscores the need to improve access...
M&A Update: New Records and Picking Partners
When it comes to succession planning amid record-setting merger and acquisition activity, understanding the different partnership opportunities emerging in the marketplace is essential to maximizing a firm’s equity...
Bronson Healthcare Group Sued Over 403(b) Plan Fees
The lawsuit alleges fiduciary breaches related to ensuring reasonable administrative and investment fees.
New York City Council Approves Auto-Enroll IRA Program
The proposal creates a mandatory automatic enrollment individual retirement account program for employers that do not offer a retirement plan and employ at least five people.
iJoin’s Explore Is Actionable Financial Wellness Tool
The solution connects the retirement plan experience with financial wellness education and planning.
How Advisers Can Play a Role in Serving Gig Workers
This part of the workforce needs holistic advice on employee benefits and help understanding basic finances. Sources agree the industry will have to evolve to effectively serve this...
Marketing Tips for 401(k) Plan Professionals
Rebecca Hourihan, founder of 401(k) Marketing, offers suggestions to help advisory industry professionals feel more confident in their personal brand.
M&A Update: OneDigital Acquires Westminster Consulting
The deal adds to 2021’s record-setting pace for adviser industry mergers and acquisitions, while underscoring the emerging competitive pressures facing even sizable independent firms.
PLAN DESIGN | Selling
Not Just Retirement Services
Many modern advisers have moved into health, wealth and other benefits.
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.
PLAN DESIGN | Solutions
Overcoming Obstacles
Strategies to manage client resistance to plan design changes.
PLAN DESIGN | Demographics
Through the Ages
How well is each generation faring in its climb toward retirement readiness?
PLAN DESIGN | Education
A Plan Feature Run Wild
Advisers should tell their clients about the risks of taking plan loans.
Trends
‘Game Changers’ Reflect Progress
The evolution of our Top 100 Advisers list represents the evolution of the retirement plan adviser industry, which has undergone fundamental shifts in business models since PLANADVISER’s founding.
July CEO Sees Promise in the PEP Marketplace
While there is still a learning curve when it comes to advisers understanding their role in the pooled employer plan marketplace, providers entering the space say the future...
Lawsuit Challenges Fees in Kimberly-Clark’s 401(k) Plan
The plaintiffs allege plan fiduciaries used what it calls ‘cobbled-together services from many providers’ and didn't monitor fees for any of them.
ERISA Attorneys Digest the DOL’s New PTE FAQ
The guidance published by the Department of Labor reminds the industry that boilerplate, fine print disclaimers that investment advice is not being provided won’t cut it.
DOL Releases Guidance on Investment Advice Exemption
This is meant to help retirement investors, employee benefit plans and investment advice providers.