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7th Circuit Affirms Win in Northwestern University ERISA Suit
The court concluded that "the amended complaint appears to reflect plaintiffs’ own opinions on ERISA and the investment strategy they believe is appropriate for people without specialized knowledge...
How to Run a Remote Advisory Firm
‘This is likely the moment we will become full-time remote and never go back,’ one adviser says. ‘The challenge will be maintaining camaraderie.’
As Congressional Help Looms, Providers Brace for Hardship Withdrawal Spike
Even as they await federal action, retirement plan recordkeepers have put plans in place to help workers and retirees make the best financial decisions during this challenging time.
Annuity Challenges Remain Post-SECURE Act
Everyone wants lifetime income products to be portable, but that doesn’t mean building such solutions will be easy.
At the Helm: Advisers and Clients Embrace 3(38) Services
The retirement planning world has moved steadily toward 3(38) fiduciary investment management services, driven by the shared preferences of plan sponsors and advisers.
Divorce Can Derail Otherwise Solid Retirement Plans
Estate planners and attorneys see a growing trend of ‘gray divorce’ affecting couples in their pre-retirement years, though the challenges of divorce impact workers of all ages.
Could Market Volatility (or Recession) Disrupt Record M&A Activity?
For some years now, advisory firm owners have enjoyed a sellers’ market that has spurred record merger and acquisition volumes.
Ongoing Volatility Projected by J.P. Morgan’s Guide to Retirement
Retirement investors have little choice but to stay the course; even backing away from the markets for a short period can prove detrimental to long-term returns.
The Democratic Candidates’ Retirement Proposals
A national automatic savings plan wouldn’t create much competition, but changing taxation for nonqualified plans would be a big disruption.
Investment Product and Service Launches
Vanguard modifies managed payout fund; Transamerica launches stable value option for 403(b)s; Fidelity announces health savings mutual funds; and more.
Finding Real Financial Wellness in the Workplace
Financial wellness programs are most effective when the different points of focus are carefully coordinated—and when employees see that their employers genuinely care about their financial wellbeing.
John Hancock Latest to Face DC Plan ERISA Self-Dealing Lawsuit
The self-dealing lawsuit suggests the firm failed to monitor or control the plan’s administrative expenses, allegedly costing the plan millions of dollars in excessive administrative fees.
Questions Left Unanswered in Supreme Court’s Intel Ruling
ERISA attorneys are grappling with the potential implications of the Supreme Court’s new ruling in Intel vs. Sulyma; some are speculating the growing use of electronic delivery methods...
Investors Should Treat Coronavirus Effect Same As Other Volatility
“Although the unfortunate reality is that volatility like this may be here to stay until the coronavirus runs its course, experience has proven time and time again that...
Supreme Court Rules for Plaintiffs in Intel ERISA Lawsuit
The new ruling is being hailed as a victory for retirement plan participants as well as a potentially important precedent-setting case impacting the special three-year statute of limitations...
Lessons from the Edward Jones Women’s Conference
Speakers and attendees at the event, which drew some 200 leading female advisers from across Edward Jones, emphasized the importance of mentorship and providing a robust support structure...
ESG and Fixed Income—a Natural Fit
Both quantitative and qualitative research suggest bonds issued by companies with favorable environmental, social and governance (ESG) ratings can offer downside mitigation during periods of market turbulence.
Ready to Comply With the Massachusetts Fiduciary Rule?
The new regulations, which go into effect on March 6, will require broker/dealers and their agents to provide investment advice and recommendations 'without regard to the interests of...
Government Plaintiffs Clear Dismissal Hurdle in Reliance Trust Lawsuit
The Department of Labor brought the underlying case and has argued successfully in opposition to the defendants’ dismissal motion, which has now been denied.
In Practice
Building Better Engagement
Expert advice for how to make the most of your face time with employees.