Results for "defined contribution plans"

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Fiduciary rule shifts power to broker-dealer compliance departments

March 14, 2018

The DOL fiduciary rule was a wake-up call for many broker-dealers, some of which had paid little attention to defined contribution plans like 401(k)s in the past. Even broker-dealers that had focused on DC plans have made significant changes...

More 401(k) plans move away from revenue-sharing model

March 12, 2018

Many 401(k) plans are moving away from revenue sharing as executives cite the need for greater transparency, simplicity and democracy in how fees are assessed to participants. Defined contribution plan consultants say federal fee regulations...

How to design a 401(k) plan that's lawsuit-proof

March 6, 2018

Lawsuits targeting 401(k) plans have become commonplace over the past decade. It's no longer much of a surprise to hear that another plan sponsor has been sued over some aspect of its plan design, and speculation is that such legal action will...

Defined-contribution plans showing returns closer to those of pensions

March 1, 2018

In the past decade, defined contribution plans have seen returns creep closer to those of their defined benefit brethren, as more DC plans have seen improved asset mixes and better plan designs, with more automatic enrollment and better default...

Senate bill aims to boost 401(k) annuities, small-employer retirement plans

March 8, 2018

New bipartisan legislation in the Senate aims to increase the use of annuities in 401(k) plans, and boost retirement-plan adoption by small employers through a particular type of defined-contribution plan known as an open multiple employer plan....

Georgetown sued for allegedly violating fiduciary duties in its 403(b) plans

March 1, 2018

Participants in two Georgetown University defined contribution plans sued the university, alleging that its management of the plans violated its fiduciary duties under the Employee Retirement Income Security Act. The participants, who are seeking...

Pension risk transfers swelled nearly 70% in 2017

March 2, 2018

Employers offloaded pension liabilities at nearly record levels in 2017, a reflection of the fact that pension plans have become more costly to keep on the books, longevity has increased and 401(k) plans have grown more popular. Rising interest...

Popular 403(b) resource launching directory of fiduciary advisers

February 26, 2018

A popular resource for participants in 403(b) plans, which are retirement plans for educational institutions, nonprofits and churches, is trying to stop what it sees as abusive sales conduct toward retirement savers by launching a directory...

NYU lawsuit becomes first 403(b) fee case to go to trial

February 23, 2018

A lawsuit charging New York University with charging excessive fees in its retirement plan is heading to trial, after a federal judge on Thursday denied the university's motion for summary judgment in the case. However, the judge on Friday entirely...

Most defined-contribution executives not aware of their fiduciary duties

February 5, 2018

When it comes to fiduciary awareness, what defined-contribution-plan executives don't know can hurt them, their plans and their participants. Recent surveys and observations by defined-contribution experts highlight troubling gaps in executives'...

Hub International acquires RIA with $850 million in retirement plan assets

February 21, 2018

Hub International, a firm new to the ranks of 401(k)-focused RIA aggregators, has acquired a Texas-based advisory firm overseeing roughly $850 million in retirement-plan assets. IPS Advisors, based in Dallas, is also an independent life and...

4 ways to build a 401(k) for baby boomers

February 14, 2018

Retirement plan advisers need to start thinking about how to design 401(k) plans to reflect the increasing numbers of baby boomers in the workforce. There was a nearly 50% jump in people over the age of 75 in the workforce between 1996 and 2016....

401(k) plan sponsors are increasingly hiring fiduciary advisers

February 13, 2018

Employers sponsoring a 401(k) plan, especially small business owners, are increasingly hiring investment advisers who serve as fiduciaries to their retirement plan, new research suggests. About 70% of all 401(k) plans used an independent investment...

Why defined-contribution plan innovation is so slow

February 14, 2018

At a recent defined-contribution industry conference, the topic presented by one of the panels, which included an executive from a company that sponsors a large retirement plan, was "radical innovation." Before the discussion could begin, the...

What's the right number of funds in a 401(k) plan?

February 16, 2018

Just what is the optimal number of funds to have in a defined-contribution plan? It's a tricky question, and depends on a number of factors such as the profile and mindset of the plan sponsor and its employees. However, there's a sweet spot...

Financial Engines expands to small 401(k) plans with ADP partnership

February 6, 2018

Financial Engines Inc., a managed-account provider for 401(k) plans, is expanding its reach by partnering with record keeper ADP to bring its advice and investment management services down-market to small retirement plans. With $160 billion...

Active TDF managers push to compete on fees

February 20, 2018

Asset managers with actively managed target-date funds are pushing to lower fees in an environment of heightened cost sensitivity. Litigation accusing employers of having high retirement-plan fees and the difficult-to-benchmark nature of TDF...

Why 401(k) advisers should be aware of contractual language limitations

January 18, 2018

As counsel for investment managers and investment advisers, we endeavor to draft documents precisely, making clear the obligations of our clients and seeking to limit their exposures to the extent permissible by the Employee Retirement Income...

Why raising fee awareness matters for 401(k) advisers

January 18, 2018

A keystone behavior is one that positively influences other behaviors and generates collateral benefits. For retirement plan advisers who want to positively impact the success of their plan clients and participants, this means focusing on raising...

New tax law could increase pension risk transfers

February 14, 2018

Pension risk transfers are poised to pick up this year as employers race to meet a tangential deadline imposed by the new tax law. A pension risk transfer allows employers to offload the risk associated with their defined-benefit plans to an...

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