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Retroactive Compliance Reviews
Meet these requirements when checking for PTE 2020-02 violations.
Plan Design / Q&A
Practice Management
Products
Products
Practice Management
Deals & People
Products
Practice Management
Larry E. Crocker
On the role of fiduciary management and adviser support.
2017 PLANADVISER National Conference Polling Insights
Presented here are the results of several dozen live polling questions fielded at the 2017 PLANADVISER National Conference, gathered during three days of highly detailed discussion of industry trends, challenges and best practices.
Fi360 Enhances Fiduciary Toolkit with Prospecting Feature
The new business-development capability allows advisers to illustrate how certain changes could benefit a prospective client’s portfolio.
Wagner Aims to Fill Void Left by DLP
With the determination letter program gone, Wagner Law Group
is helping plan sponsors remain compliant with the IRS.
Assessing the Impact of Major Investment in Advisory Tech
The financial services and retirement advisory industry has collectively
invested tens, if not hundreds of millions of dollars in the last decade to
boost the use of big data technology; one researcher asks how it’s all paid
off.
Retirement Industry People Moves
Cetera Expands
Retirement Business; Mercer Expands
Leadership in Detroit Office; OneAmerica Names West
Coast Relationship Executive.
MassMutual Enhances Web Support for Advisers
The
firm is launching a new website and digital tools to help advisers market their
practice to retirement plan sponsors.
Many Asset Managers, B/Ds Don’t Trust Compliance Programs
In addition, many are not confident in their firm’s cybersecurity.
micro scope
Client Service
Products
Practice Management
Products
Products
Products
Products
Products
Products
Products
The Best Path Forward
How advisers focused on micro plans grow their business
Maintaining a Healthy Plan Involves Some Overlooked Factors
Plan sponsors need to take a closer look at the various components that determine the health of a plan in order to remain compliant with regulators and to ensure the retirement readiness of participants.
Fiduciary Benchmarks Launches IRA Best Interest Determination Service
Fiduciary Benchmarks is planning to launch a series of
services in response to the DOL’s conflict of interest rule.
Product Restrictions, Platform Limitations, Drive Adviser Attrition
New Cerulli Associates research identifies “pain points” at
the root of advisers’ decisions to change firms—and what leadership can do to
address staff concerns before losing key advisers.
Institute Educates Plan Advisers About Litigation and Governance
MainStay’s Retirement Institute provides resources for advisers to use as they help their plan sponsor clients and prospects navigate the governance landscape.
FinMason Solutions Offer Suitability Tracking
If a recommendation is given in a careful and controlled
manner, but there is no record made, does that mean it is materially less prudent?
Trust Builders Revamps Fiduciary Support
“Financial advisers’ clients need to understand how market
volatility can hurt their chances of a successful retirement, and they also
need to know that options are available to mitigate the risk,” the firm
suggests.
Advicent Updates NaviPlan Compliance Programming
Advicent introduced new client report integration capabilities
in its latest update of the NaviPlan financial planning software.
Envestnet Teams With Retirement Advisor University
The “Essential Retirement Advisor” program offers broad
fiduciary training designed to help advice professionals stay up-do-date with the
latest regulatory challenges.
Orion Offers Custom Fee Benchmarking Tool
The benchmarking tool will allow advisers to filter based on account size range; account types; services provided; and types of firms.
RiXtrema Enhances IRA FiduciaryOptimizer with Larkspur Data
By partnering with Larkspur Data, RiXtrema will
enhance its current retirement plan compliance offerings with added features.