Tag: 5500

Advisers Can Wave Red Flags, Too

It’s well known that federal auditors look for red flags to target review efforts, but one service provider says retirement plan advisers should use them for better business planning.

How to Avoid (or Survive) a Plan Audit

Aggregated qualified retirement plan audit data from the Department of Labor (DOL) shows that, of the 3,677 investigations closed in 2013, violations were found nearly 73% of the time.

No Shortage of Challenges or Chances

Retirement advice professionals must confront some acute challenges in the months and years ahead to ensure their ability to support clients—and grow their own firms—remains intact.

Should Small Plans Mimic Big Ones?

Small plans must be given more latitude to mimic their larger counterparts if the nation is to adequately fund its retirement needs, says Kristi Mitchem, of State Street Global Advisors.