Results for "retirement plan advisers"

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Stepping out of the defined contribution 'echo chamber'

June 8, 2017

With the competition among defined contribution plan advisers tough and expected to get even tougher as the Department of Labor fiduciary rule forces inexperienced advisers to exit the market, plan advisers need to step out of the DC "echo chamber"...

Where retirement advisers should focus their preparations for the DOL fiduciary rule

June 8, 2017

It's now official: On June 9, the Department of Labor's fiduciary rule will take effect. The heart and soul of the rule, and the part on which all retirement advisers should focus their preparations, is the requirement to have and follow "impartial...

The disclosure 401(k) advisers may be missing under the DOL fiduciary rule come June 9

June 8, 2017

When the Department of Labor's fiduciary rule kicks in June 9, previously non-fiduciary advisers to 401(k) plans will need to furnish important new disclosures to their clients acknowledging their newly minted fiduciary status. The kicker: The...

401(k) record keepers making big bets on managed accounts

June 1, 2017

Fidelity Investments and Empower Retirement are making big bets on 401(k) managed accounts, and competing defined-contribution-plan record keepers are poised to follow suit. What isn't yet clear is if these bets will pay off for retirement plans...

Wells Fargo, in 'atypical' outcome, wins 401(k) lawsuit

May 30, 2017

Wells Fargo & Co. has prevailed in a lawsuit alleging the firm breached its fiduciary duty to the company 401(k) plan by offering proprietary target-date funds. Minnesota district court judge David S. Doty granted Wells Fargo's motion to dismiss,...

The appeal and pitfalls of holding unconventional assets in retirement accounts

May 27, 2017

Retirement investors and advisers concerned about generating income later in life amid a gloomy forecast for stocks and bonds may be eying more unconventional asset classes as a way to juice returns and diversify portfolios. While there may...

Simple disclosure of conflicts touted by opponents of DOL fiduciary rule not effective

May 24, 2017

Now that the industry knows the DOL fiduciary rule will go into effect on June 9, it's important to step back and understand what's at stake and who stands to benefit from — or be hurt by — potential revisions to the rule, which may happen...

Vermont poised to become latest state to set up retirement plan for small businesses

May 22, 2017

Vermont will likely become the latest state to create a retirement plan for its small businesses, in a play to boost retirement savings by increasing the number of private-sector employees covered by a workplace plan. The Vermont legislature...

What plan sponsors look for in a 401(k) adviser

May 21, 2017

They aren't dissatisfied, but plan sponsors want more from their advisers. A recent survey of plan sponsors by the National Association of Plan Advisors and The Plan Sponsor University found 53% are satisfied with their adviser and 55% are satisfied...

Advisers struggle to get 401(k) plan, participant data from record keepers

May 21, 2017

There is a fight brewing between defined contribution record keepers and advisers over access to plan and participant data which could determine the fate of retirement security for Americans. Without access to plan and participant data, advisers,...

Retirement plan advisers turning to RIA aggregators to build practices

May 21, 2017

Some retirement plan advisers are turning to so-called "RIA aggregators" that focus on the defined contribution market to help them build their practices, the primary allure being the scale and support afforded by a large, like-minded adviser...

How 401(k) advisers can create effective financial wellness programs

May 21, 2017

For all the buzz employer financial wellness programs are receiving, they may be short-lived. When our team at Duke University's Common Cents Lab evaluates financial wellness programs, we focus on one key area: Is the program using proven methods...

How 401(k) advisers can bullet-proof themselves against litigation risk under DOL fiduciary rule

May 20, 2017

Many advisers who service 401(k) plans will, for the first time, be considered fiduciaries with respect to their investment advice when the Labor Department's conflict-of-interest rule comes into force next month. Along with that heightened...

Plan advisers give stable value another look

May 20, 2017

Ever since the SEC upgraded its rules for money-market funds last fall, retirement plan advisers have been giving stable value funds a second look. By mandating that nongovernment money funds introduce special fees, redemption restrictions and...

Use of multiple record keepers could hurt defendants in 403(b) lawsuits

May 19, 2017

Judges in lawsuits targeting the Duke University and Emory University retirement plans have given life to a novel claim against the universities' use of multiple record keepers, setting the stage for a potential legal blow to a common practice...

President Trump signs resolution killing state auto-IRA rule

May 18, 2017

President Donald J. Trump on Wednesday evening signed a joint resolution killing an Obama-era regulation that encouraged states to set up retirement plans known as auto-IRAs. The Senate passed the resolution, H.J. Res. 66, on May 3. The House...

401(k) managed account competition heats up as Fidelity expands reach

May 17, 2017

Fidelity Investments, the largest provider of defined contribution plans, is moving to expand the reach of its fiduciary managed-account service for retirement plan participants by making it available to record-keeping platforms outside of its...

Courts' interpretations of 401(k) fiduciary laws are changing

May 16, 2017

It appears that laws of fiduciary prudence under ERISA are evolving. A recent district court decision, in Lorenz v. Safeway, demonstrates this point. "What is good for the goose is good for the gander" is not a common legal maxim, but the District...

Fidelity's approach to DOL fiduciary rule rankles some 401(k) advisers

May 15, 2017

Fidelity Investments is aggravating some retirement plan advisers. Their ire stems from changes that Fidelity, the largest record keeper of defined-contribution plans, is making to its business in relation to compliance with the Labor Department's...

Private equity adds fuel to 401(k) record-keeper consolidation

May 11, 2017

Just as 401(k) record keepers cry poverty, claiming there are no profit margins left and fueling consolidation, private equity has jumped in, perhaps seeing value that traditional record keepers are missing. What's causing this consolidation...

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