Search results for: the blank effect
Investment-Oriented
Make It Last
Participants must choose income products that meet their individual needs.
Cybersecurity Strategies for the Adviser Industry
Effective cybersecurity strategies start with the right tone at the top, with senior leaders who are committed to improving their organization’s digital posture.
Fidelity Wins Dismissal of FundsNetwork Revenue Sharing Challenge
The firm has successfully argued that it is entitled to negotiate and collect revenue-sharing fees from mutual fund companies in exchange for representation on its FundsNetwork platform.
Shifting California Privacy Regulations Are Serious Business for Advisers
This week, the California attorney general proposed a set of important changes to the California Consumer Privacy Act (CCPA), giving stakeholders until February 25 to submit their comments.
FINRA Wants to Help You With Reg BI Compliance
As the enforcement date approaches for the sweeping Regulation Best Interest rulemaking package, FINRA is working hand-in-hand with the SEC to ensure effective coordination—and to support advisers working...
Washington Update: Industry Turns Attention to Portman-Cardin Bill
The president’s budget proposal may be short on retirement reforms, but members of Congress are already looking beyond the SECURE Act.
SECURE Act Update: Revisions to Model Rollover Notices
Although the landmark legislation will take years before it is fully implemented, many of the provisions are already in effect—including two that require immediate changes to the 402(f)...
SECURE Act Is No Lifetime Income Free-For-All
One analyst argues the landmark legislation’s lifetime income disclosure requirement may prove to be more influential than the annuity selection safe harbor.
Voya Left With One Claim to Fight in Excessive Fee Suit
A federal judge found Voya is a fiduciary with respect to the 404a-5 participant fee disclosures it provides for the retirement plan in which the plaintiff participates.
Principal GIC Lawsuit Revived by Appellate Court
The original lawsuit accuses Principal Financial Group of violating ERISA by setting the crediting rate for a guaranteed investment contract (GIC) such that it can “retain unreasonably large...
Record Low Unemployment Spotlights Benefits Generosity
Generous and well-designed employee benefits are even more essential when the unemployment rate dips well below 4%—and so is cultivating a sense of trust and inclusion among the...
OneDigital Acquires Resources Investment Advisors in Latest M&A Transaction
Health care planning meets retirement investing in the latest significant acquisition to hit the registered investment adviser community—the purchase of Resources Investment Advisors by OneDigital.
Excessive Fee Suit Targets Navy Defense Contractor Serco
The lawsuit resembles many others that have been filed under the Employee Retirement Income Security Act (ERISA), suggesting an employer permitted excessive recordkeeping and mutual fund fees in...
FIA and DiMeo Schneider to Combine Forces
In a statement to their clients, it was noted that Bob DiMeo, managing partner of DiMeo Schneider, and Mark Wetzel, president of Fiduciary Investment Advisors, have known each...
Berkshire Hathaway OKs Sizable Settlement in Acme Pension Dispute
More than six years of litigation have preceded the announcement of a proposed settlement agreement in Hunter v. Berkshire Hathaway.
FSI Expands Health Care for Member Advisers and Staff
CoveredAdvisor2.0 is delivered in collaboration with Decisely Insurance Services and Humana.