Results for "403(b) plans"

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Why the 'Father of the 401(k)' is both right and wrong about small plans

August 1, 2018

There's no question that smaller companies are under greater pressure than ever to offer a retirement plan to workers, either because of state requirements or to attract employees in a market with a historically low level of unemployment. But...

NYU beats back Jerry Schlichter and 403(b) lawsuit

July 31, 2018

A federal judge on Tuesday ruled in favor of New York University in a lawsuit alleging the university charged excessive fees in its retirement plan. According to NYU employees represented by the law firm Schlichter Bogard & Denton, NYU's retirement...

LPL not selling Worksite Financial Solutions 401(k) platform

July 27, 2018

LPL Financial will not sell its Worksite Financial Solutions 401(k) platform, a decision that follows an expression of interest to buy the program by Global Retirement Partners, the largest retirement-focused advisory firm in LPL's network....

Fidelity, Empower to keep fiduciary services for 401(k) plan participants

July 23, 2018

Fidelity Investments and Empower Retirement, two of the largest record keepers of defined-contribution plans, will continue to provide fiduciary advice to 401(k) participants via their call centers, even though the Department of Labor's fiduciary...

401(k) advisory firms with custom TDFs offer pain, solace to asset managers

July 20, 2018

Target-date funds built by firms with large networks of 401(k) plan advisers are beginning to gather significant assets, posing a direct threat to some asset managers trying to distribute their own products. Consider Retirement Plan Advisory...

Fidelity backs away from being 'point in time' fiduciary for 401(k) plans

July 18, 2018

Fidelity Investments will no longer serve as a fiduciary when it helps employers select investments for their 401(k) plans, moving away from a policy the firm adopted last year in response to the Department of Labor's fiduciary rule. Fidelity,...

Beware 401(k) robo-fiduciaries – especially the human ones

July 17, 2018

This article has been updated to reflect the correct name of the Mercer product mentioned in the second paragraph. There's a lot of talk about robo-advisers, many of which would be troubling to traditional 401(k) plan advisers if they had a...

Fidelity adds more financial planning to its 401(k) managed accounts

July 17, 2018

Fidelity Investments, the largest record keeper of defined-contribution plans, has upgraded its managed account service to encompass more holistic financial planning and advice for 401(k) investors. Observers say the move signals a trend that's...

401(k) advisers should heed the legal aspects of outsourcing

June 25, 2018

The outsourcing of retirement plan functions — administrative, investment and others — is a practice that predates the Employee Retirement Income Security Act of 1974. But its prevalence has increased in recent years as a result of increased...

Lessons 401(k) advisers learned from the DOL fiduciary rule saga

June 21, 2018

Retirement plan advisers, especially specialists, used to complain that their broker-dealers and the public ignored them — or, worse, didn't realize they existed. All that has changed now that retirement has become a key political issue and...

Opaque, outdated 401(k) plan disclosures harming investors, advisers

June 20, 2018

Opaque and outdated 401(k) plan disclosures are harming investors and financial advisers trying to gauge whether rolling money out of a workplace retirement plan is in the client's best interest, Morningstar Inc. argues in a new report. The...

401(k) fund fees continue to fall

June 19, 2018

Fees for equity, hybrid and bond mutual funds held in 401(k) plans continued their long-term decline in 2017, according to a new report published by the Investment Company Institute, a trade group representing fund managers. The average asset-weighted...

DOL fiduciary rule on brink of death as key deadline passes

June 14, 2018

The Department of Labor fiduciary rule is teetering on the brink of death after the Justice Department, which was defending the rule in court, appears to have let a key deadline pass to keep the case alive. On March 15, the 5th Circuit Court...

SEC rule proposal doesn't include 401(k) sponsors in 'best interest' advice

June 13, 2018

The Securities and Exchange Commission is trying to bridge the gap in investment advice standards for brokers and financial advisers, but the rift remains wide in one particular area: advice to 401(k) plan sponsors. The SEC proposed Regulation...

SEC best-interest proposal doesn't affect 401(k) brokers

June 12, 2018

When it comes to big news, it doesn't get much bigger than the last few months. First, the 5th Circuit Court of Appeals threw out the Department of Labor fiduciary rule; then a month later, the Securities and Exchange Commission issued its best-interest...

LPL in talks to sell 401(k) rollover platform to Global Retirement Partners

June 12, 2018

LPL Financial is in talks to sell Worksite Financial Solutions, a platform that helps advisers service 401(k) rollovers, to Global Retirement Partners, the largest retirement-focused advisory firm in LPL's network. LPL, the largest independent...

How advisers can navigate ESG investing in 401(k) plans

June 11, 2018

Despite three attempts in the last four years by the Department of Labor to clarify if, when and how environmental, social and governance (ESG) factors can be used in the investment due-diligence process for retirement plans, advisers are still...

Should 401(k) advisers limit their roster of record keepers?

June 11, 2018

All retirement plan advisers face an important and lingering question: How many record keepers should I work with? There are clear advantages to having a short roster of "preferred" or "approved" record-keeper partners, such as ease, efficiency...

Defined-contribution plan loan and hardship distribution rules eased

June 8, 2018

401(k)s are for retirement, but some clients who are strapped for cash need access now for any number of reasons. Advisers can help by knowing the latest tax rules. Defined-contribution plans can offer loans and hardship distributions. While...

Why 401(k) advisers should heed TPA consolidation

June 6, 2018

Third-party administrators have been in the spotlight following a string of recent acquisitions, and retirement plan advisers should take note. TPAs, which provide administrative services to defined-contribution plans, have been getting more...

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