Results for "retirement plan advisers"

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DOL fiduciary rule causing DC-plan record keepers to change business with insurance agents

July 24, 2017

Independent insurance agents have been among the most affected by the Department of Labor's fiduciary rule, and it appears some defined-contribution-plan record keepers have been contributing to that upheaval. Record keepers such as Principal...

Shifting DCIO distribution offers opportunity for 401(k) advisers

July 19, 2017

In the large defined-contribution-plan market — the realm of plans larger than $1 billion — the norm is for money managers to sell directly to plan sponsors and work cooperatively with the plan's consultants. For smaller plans, the defined...

U.S. falls further in retirement security ranking among developed countries

July 19, 2017

The United States fell three places to 17th among 43 developed nations in retirement security, says a report from Natixis Global Asset Management. The firm's retirement index found the highest-ranking countries to be Norway, followed by Switzerland,...

Managed accounts look attractive to 401(k) advisers, but how do you measure performance?

July 18, 2017

For 401(k) advisers, managed accounts are a tough nut to crack. On one hand, many advisers believe managed accounts will compete with target date funds as the most popular type of default investment option in 401(k) plans as soon as they become...

Tax incentives would boost small-business retirement plans: LPL study

July 18, 2017

An overwhelming majority of small business owners likely would adopt or enhance employee retirement plans if they were provided increased tax incentives, a new survey from LPL Financial has found. Based on data and comments from 791 small businesses,...

Appointing and monitoring a 401(k) investment manager under ERISA

July 13, 2017

Employee-benefit attorneys advising retirement plan sponsors frequently mention that plan fiduciaries are not liable for the acts or omissions of an appointed investment manager, and aren't obligated to invest or otherwise manage plan assets...

American Airlines reaches $22 million settlement in 401(k) self-dealing lawsuit

July 11, 2017

American Airlines Inc. has agreed to settle a 401(k) self-dealing lawsuit for $22 million, one of the largest monetary settlements reached in similar class-action litigation. Plaintiffs brought the suit, Main et al v. American Airlines Inc....

Fund manager MFS sued for self-dealing in its 401(k) plans

July 10, 2017

MFS Investment Management has been sued for self-dealing in its company 401(k) plans, becoming the latest fund firm to be targeted for stocking its retirement plan primarily with proprietary investments. The plaintiff in the lawsuit, Velazquez...

5 ways to ensure an HSA isn't subject to ERISA

July 7, 2017

Health savings accounts are swelling in popularity, and their growth could accelerate, depending on the fate of health-care changes currently being debated on Capitol Hill. Retirement plan advisers have taken notice: Observers say that lawmakers'...

How did the DOL fiduciary rule change the world for 401(k) advisers?

July 6, 2017

With all the talk and activity around the Labor Department's fiduciary rule, you might have imagined a dramatically different world for advisers when they came to work June 9, the rule's official implementation date. But, for the vast majority...

The top 5 mistakes made by 401(k) plan sponsors

July 5, 2017

As a retirement plan consultant, I have come across many plan sponsors that have inadvertently made mistakes in their 401(k) plans. Most have just never had anyone show them how to correctly administer a 401(k), or they have so much on their...

Oregon becomes first state to launch auto-IRA program

July 5, 2017

Oregon has become the first state to launch an automatic-enrollment, payroll-deduction IRA program, known as an "auto-IRA," for private-sector workers. It brings to fruition a concept that's been discussed among policymakers for more than a...

Rising rates increase the appeal of lump-sum pension payouts

July 5, 2017

As the Federal Reserve continues its pattern of gradually raising interest rates off historic low levels, financial advisers will want to start recalculating the way they advise clients when it comes to pension payout options. There are always...

Fidelity, American Century adopting new TDF fee tactic as cost pressures grow

July 5, 2017

Two of the largest managers of target-date-fund assets, Fidelity Investments and American Century Investments, are changing how they assess fees in the multi-asset funds, at a time of heightened cost scrutiny and as TDFs capture an increasing...

Connecticut governor signs bill to improve 403(b) plan fee transparency

June 30, 2017

Retirement plan providers servicing some 403(b) plans in Connecticut will be required to disclose investment fees and compensation paid to those giving participant investment advice, courtesy of a new law signed by the state's governor this...

Waddell & Reed latest active fund manager sued for 401(k) self-dealing

June 28, 2017

Waddell & Reed Financial Inc., which sponsors the Waddell & Reed and Ivy-branded investment funds, has been sued for self-dealing in its own 401(k) plan, joining a string of other asset managers to have been targeted recently for similar allegations....

Nationwide's 401(k) record-keeping fees are excessive, lawsuit claims

June 28, 2017

Nationwide has been sued for allegedly charging 401(k) plans excessive record-keeping and administration fees in a lawsuit that also challenges the practice of assessing fees based on the amount of plan assets. Plaintiff Alana Schmitt, a participant...

'Less pressure' on changes to defined contribution plans under tax reform: Graff

June 26, 2017

The state of political affairs in Washington is making it less likely that there will be major changes to the treatment of defined contribution plans under any upcoming tax-reform legislation, an executive with the largest association for retirement...

DOL rule poses problems for advisers' daily routines

June 22, 2017

The greatest difficulties in adjusting to the new DOL fiduciary standard for retirement accounts are found in financial advisers' daily routines, says a new report from Aite Group consultants. Aite's survey of 152 financial advisers who actively...

Voya's win in 401(k) fee suit involving Financial Engines bodes well for other record keepers

June 22, 2017

The dismissal of a lawsuit against Voya Financial Inc. for its relationship with 401(k) robo-adviser Financial Engines could be a harbinger of success for other major retirement-plan record keepers locked in similar legal battles. Judge Lorna...

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