Considering Which Parts of Compliance to Outsource
Advisers say having external compliance providers does not eliminate the need for internal fiduciary documentation and compliance signoffs.
Tag: Compliance services
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Retroactive Compliance Reviews
Meet these requirements when checking for PTE 2020-02 violations.
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...
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...
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.
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...
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...
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.