Tag: Advice

Compliance

June 28th, 2018

Second Amended ERISA Complaint Targeting Xerox HR Solutions Tossed by District Court

Considering a second amended complaint much broader than the original, a district court has once again rejected allegations by participants in a Ford Motor Company retirement plan that...

In Practice

June 28th, 2018

LPL Recalibrates Retirement Business for the Long-Term

Bill Beardsley, head of Retirement Partners at LPL, gives his take on the firm’s decision to close the Worksite Financial Solutions program, and on his plans for lasting...

Practice Management

June 27th, 2018

DISRUPTION: Talking Adviser Recruiting with LPL Leadership

As retirement specialist advisers shift away from commissioned service and towards relationship-based wealth management and plan design consulting, providers of brokerage and investment management services are making their...

Compliance

June 25th, 2018

Betterment Settles FINRA Allegations Tied to Bookkeeping Practices

Without admitting guilt or even the facts of the case, Betterment has settled various allegations of improper recordkeeping and "window dressing" leveled by FINRA, to the tune of...

Practice Management

June 20th, 2018

Competing for Advisers With Tools and Services: Retirement Industry M&A Activity

Pressing industry trends and emerging opportunities are reflected in recent merger and acquisition activity among retirement plan advisers and service providers, and in the efforts of other firms...

In Practice

June 18th, 2018

Advisers Fret Lack of Support and Limited Autonomy

A new survey of advisers published by Schwab Independent Branch Services suggests client-facing staffers are “brimming with entrepreneurial drive,” and as a result they are increasingly drawn to...

Compliance

June 15th, 2018

More Sponsors Search Out Fiduciary Services and Support

When thinking about fiduciary support services and outsourcing, really the important considerations should be about process and time management, more than fiduciary risk transfer.

Compliance

June 14th, 2018

Reflections on a Dramatic Year for Retirement Plan Regulation

From the unexpected derailment of the DOL fiduciary rule to the expanding debate about so-called ‘open MEPs,’ your plan sponsor clients face a tremendous amount of uncertainty in...

Client Service

June 6th, 2018

Will Your Plan Sponsor Clients Attend PLANSPONSOR National Conference 2018?

While the conference is quickly approaching, there is still time to sign up. All the information you need is here.

Products

May 25th, 2018

Questis Partners with MX for Data Aggregation

Through the MX partnership, participants with access to the Questis platform can see all of their finances in one place in a clear, organized, visual manner.

Compliance

May 22nd, 2018

FINRA Seeking Comments on Churning Rules as SEC Considers Action

A new client alert published by the Wagner Law Group urges advisory firms to review and consider an update to anti-churning policies, now that FINRA and the SEC...

In Practice

May 22nd, 2018

Skill in Fiduciary Discretion Discussions Brings Lots of Low-Hanging Fruit

Independent advisory shop founder Joe Gordon talks about winning new plan business from brokers and bank advisers who are “seriously fumbling the discussion with clients about fees and...

Practice Management

May 21st, 2018

DISRUPTION: AssetMark Executive on Outsourcing and Practice Growth

Matt Matrisian, SVP of strategic initiatives at AssetMark, is passionate about the topic of advisory practice management, enough so that he wrote a 300 page book on the...

Client Service

May 10th, 2018

2018 Plan Sponsor of the Year Winners

Get to know the winners of the 2018 Plan Sponsor of the Year awards; their stories can help your retirement plan clients generate new ideas and embrace progressive...

In Practice

May 10th, 2018

ERISA Attorneys Help Digest DOL’s ‘Confusing’ Fiduciary Rule FAB 2018-02

Expert attorneys warn the new non-enforcement policy binds only the DOL and IRS; state regulators and private plaintiffs could potentially seek to bring an action for alleged non-compliance...

In Practice

May 4th, 2018

Client Service Q&A Part Two: Practice Differentiation and a Shifting Employment Landscape

Following up on a broad discussion of market volatility, John Diehl, SVP of strategic markets for Hartford Funds, encourages advisers to consider new means to separate their service...

The Markets

May 3rd, 2018

Volatility, Strategic Thinking, and Long-Term Perspective

PLANADVISER presents an impromptu Q&A with John Diehl, senior vice president of strategic markets for Hartford Funds, on the subject of market volatility and keeping a long-term perspective...

Compliance

May 3rd, 2018

5th Circuit Denies AARP, Attorneys General Motions to Revive DOL Fiduciary Rule Case

This leaves the SEC’s revised conflict of interest standards for brokers and advisers as the leading alternative.

Columnists

May 2nd, 2018

SEC Issues FAQs About Share Class Selection Disclosure Initiative

If an adviser reduced their fee due to the receipt of 12b-1 fees, the SEC might not ask for any disgorgement; for instance, the SEC says, if an...

Data & Research

April 26th, 2018

Americans’ Lack of Social Security Knowledge Shows

Tina Ambrozy, president of sales and distribution at Nationwide, warns of a major disconnect between what consumers think their Social Security benefit will be—and what this amount will...

Events Spotlight

PLANADVISER 360

November 2– 5, 2025
The Westin Kierland, Scottsdale, AZ
The retirement plan advisory industry continues to evolve, both in business structure and in the services provided to sponsors and participants. Advisers need insights and resources to aid them in keeping themselves and their practices relevant. PLANADVISER 360 is a comprehensive, interactive event that provides just those opportunities, all while bringing advisers to a beautiful resort to golf, enjoy the outdoors, swim and spend time with peers.