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Build Referral Networks to Find the Right Clients
Advisers need to understand that developing referral sources can take as long as five to seven years and that there is no one-size-fits-all approach.
Should Fixed Income Come First in Glide Path Discussions?
The equity side of the portfolio tends to get a lot of air time, but experts agree that a more balanced approach should increase the likelihood of participants...
Lawsuit Says Plan Participants Shorted on Distributions During Coronavirus
A special valuation was processed before three terminated participants were given distributions of their 401(k) plan accounts.
Servicing Strategies
Compliance When It’s Tough
Advisers should scope out any plan errors to keep their clients on course.
Compliance News
Legislative and Judicial Actions
HSA inflation adjustment, 403(b) catch-up contributions, tax treatment under the CARES Act, and more.
Trends
Regulation Best Interest Arrives
On June 30, the Securities and Exchange Commission’s ‘Reg BI’ goes into effect to enhance the transparency and quality of adviser/investor relationships.
Economic Murkiness Won’t Soon Dissipate
One economist says there is so much noise in the data that it’s hard to assess where we are right now, let alone where things are going from...
Remember the Real Role of Stable Value
The annualized return from 2000 to 2020 is 4.22% for stable value and 5.25% for stocks. One might expect the difference to be greater.
DOL Issues RFI on Prohibited Transactions, Open MEPs and SECURE Act
Responses to the request for information (RFI) will help the Department of Labor (DOL) evaluate the need for a proposal on new prohibited transaction exemptions related to pooled employer...
What Constitutes Retirement Plan Leakage, Really?
Depending on how exactly one defines the term, estimates of 'leakage' from defined contribution retirement plans vary considerably.
Tempered Interest in Custom TDF Market Belies Big Opportunities
Experts say the typical off-the-shelf target-date fund (TDF) isn’t as diversified as what could be created under a custom implementation.
Mergers and Acquisitions Hit Hard by COVID-19
Between March and May, there were only 10 RIA transactions and two IBD deals, according to Fidelity.
Arizona Finalizes and Adopts Annuity Transaction Best Interest Standard
Arizona Gov. Doug Ducey has signed into law a bill to establish a best interest standard applying to the sale of annuity contracts in the state.
Another Health System Faces ERISA Excessive Fee Challenge
In yet another lawsuit involving the law firm Capozzi Adler, violations of the fiduciary duties of prudence and loyalty are alleged.
Paycheck Protection Program Considerations for Advisers
Like any clients that have taken advantage of the Paycheck Protection Program (PPP), advisory practices must be careful about the provisions the Small Business Administration has set forth...