Results for "retirement plan advisers"

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DOL fiduciary rule delay likely and death not out of the question

December 16, 2016

Post-election, the fate of the Department of Labor's fiduciary rule is in question. Confusion and speculation about how, when and if the rule will move forward threaten to distract firms from planning and preparing for its scheduled implementation...

Natixis launching 401(k) market's first ESG-focused target-date mutual funds

December 16, 2016

Natixis Global Asset Management is seeking to be the first asset manager to launch target-date mutual funds focusing on environmental, social and corporate governance causes, hoping to capitalize on broader momentum for ESG investing and recent...

Three ways 401(k) advisers can demonstrate their value to clients

December 9, 2016

If you're a financial adviser with a narrow focus on retirement plans, you're a rare breed — sort of like the spotted Jaguar shark from the movie “The Life Aquatic.” This breed of advisers needs to get serious about how clients will judge...

Congress reignites debate over lifetime income disclosures in 401(k) plans

December 7, 2016

The Labor Department may be abandoning its regulatory project around lifetime income disclosures, but Congress isn't letting it die. In October, Assistant Secretary of Labor Phyllis Borzi said the department wouldn't be able to issue rules concerning...

Target-date fund managers evolve to capture burgeoning 401(k) market

December 5, 2016

For providers of target-date funds, it's no longer enough to be a one-trick pony. Over the last several years, TDF managers have engaged in a marketing bonanza of new products to stand out in an increasingly competitive — and lucrative —...

Time for 401(k) plans to step into the modern age

December 4, 2016

The world of work has changed dramatically in the past 20 years, but some of our laws and customs have not kept up with these changes. The result can be harmful for workers who are relying on employer 401(k) savings plans to fund their retirement....

Why it would be a mistake for advisers to stop implementing the DOL fiduciary rule

December 1, 2016

After Donald Trump's election victory, many are wondering what to expect with respect to the Department of Labor's recently adopted fiduciary rule, which governs investment advice related to retirement plan assets. It is no secret that Mr. Trump...

The potential downside of automatic enrollment in 401(k) plans

December 1, 2016

Automatic enrollment has become a staple of 401(k) best practices over the past decade, touted as a way to boost important metrics such as plan participation and savings rates among employees. Adoption has more than doubled since 2006, when...

The amazing vanishing DOL fiduciary rule?

November 21, 2016

When it comes to the Labor Department's new "investment advice" regulation, the first question on the table has to be: Will it survive this historic election? The answer: a definite “maybe not.” First and maybe foremost, let's talk possible...

Advisers can't be passive when it comes to DOL rule's fiduciary principles

November 17, 2016

All professional advisers have a common mandate — to serve clients' best interests. This is a defining characteristic of what it means to be a professional in the classic sense of the word. With the advent of the best-interest contract exemption,...

Capital One will eliminate commissions on IRAs

November 16, 2016

Capital One Investing, the brokerage arm of Capital One Financial Corp., will be eliminating commissions on advised individual retirement accounts by next year. The company announced Wednesday that the advised IRAs will move to level-fee pricing...

The other DOL retirement regulation Trump and the GOP may scuttle

November 16, 2016

The potential repeal of Dodd-Frank and the Labor Department's fiduciary rule has dominated discussion among financial circles following Donald Trump's presidential-election win last week, but one regulation has largely gone unmentioned: that...

Edward Jones hit with second lawsuit over excessive 401(k) fees

November 15, 2016

Edward Jones has been sued for excessive fees and self-dealing in its 401(k) plan, representing the second such legal ordeal to befall the company this year and coming amid a barrage of litigation targeting financial services companies for their...

Legislation, DOL rule could boost multiple employer plans

November 14, 2016

Multiple employer plans occupy a largely ignored area of the defined contribution market, but a confluence of factors is likely, in the near future, to make such retirement plans more popular for plan advisers serving small-market clients. These...

401(k) advisers push for more general investment policies as fiduciary safeguard

November 8, 2016

The policies governing plan sponsors' investment decisions in 401(k) plans are adopting language that's more general rather than prescriptive in nature, as a way to safeguard against fiduciary breach and future legal action, according to advisers...

Strategic Insight acquires BrightScope

November 1, 2016

BrightScope Inc., a financial services data provider, has been acquired by Strategic Insight, according to an announcement Nov. 1. Founded in 2008 by two brothers, Mike and Ryan Alfred, San Diego-headquartered BrightScope is well known for its...

New path for resolving late RIA rollovers

October 30, 2016

As advisers formulate year-end tax strategies, they should familiarize themselves with new rules put out by the IRS regarding late IRA rollovers. Nobody should ever have a late rollover if they can help it. Doing so risks incurring a 10% penalty...

DOL expects to issue final rule on city retirement programs by year end

October 26, 2016

The Labor Department expects to issue a final rule governing city retirement programs by the end of the year, according to Phyllis Borzi, assistant secretary of labor at the department's Employee Benefits Security Administration. The rule would...

DOL fiduciary rule won't help some 403(b) retirement plans

October 21, 2016

Through its fiduciary rule, the Department of Labor is attempting to rein in conflicted investment advice and reduce costs for retirement savers. However, there's a corner of the retirement market plagued by the sort of high fees and sales practices...

Stars aligning for use of annuities in 401(k) plans

October 19, 2016

In recent years, policymakers have increasingly paid attention to annuities as one way to help investors solve the retirement puzzle. A recently released government report reviews the current barriers to annuities on the 401(k) plan menu and...

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