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Library » Avoiding the Bull Market Glide Trap: Is Your Plan’s Target Date Solution Taking Too Much Risk?
May 23, 2018 | Retirement Plans
It’s been over a decade since the Department of Labor (DOL) issued guidance on Qualified Default Investment Alternatives (QDIAs). Target date funds (TDFs) quickly became the favored QDIA choice for their ease of use and ability to help address well established participant behavioral challenges. …
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Financial AdvisorsLibrary » Webinar: How Much Is Active Management Worth?
March 29, 2018 | Active Management
Documenting the reasonableness of 401(k) investment options has never been so difficult or so important. Today’s unique market environment, participant risk tolerance, and risk capacity creates new fiduciary risk. in this webinar, we discuss prudent approaches to evaluating …
Library » Converge, Volume 15: Fiduciaries: “Can someone just tell me what to do?”
September 13, 2017 | Retirement Plans
Eight of ten employers say they’re concerned about an increase in fiduciary litigation. And more than a quarter listed fiduciary liability and litigation as their top 401(k) concern. Employers’ concern is understandable. Although most employers would confidently say they have the best …
Library » Webinar: New Era Menu Design
July 27, 2017 | Retirement Plans
Behavioral insights have helped 401(k) fiduciaries design plans and select investment defaults that best meet the needs of the majority of participants. With new fiduciary scrutiny, an increase in litigation, and a potential shift in participant behaviors, we are entering a new …
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Financial AdvisorsLibrary » Webinar: Accumulating Assets in IRAs
July 13, 2017 | Retirement Plans
Now more than ever, investors need guidance in making investment decisions with their IRA rollovers. We offer investment solution ideas built for these challenging times as well as discuss best practices regarding fiduciary concerns when it comes to capturing your share of the $7.3 …
Audience
Financial AdvisorsLibrary » Webinar: Fiduciary Fee Reasonableness: Breaking Down Litigation Teachings
March 29, 2017 | Retirement Plans
Even with the seemingly ever-changing uncertainty around regulations, there are actionable ways to push forward. Recent 401(k) litigation has helped define fee reasonableness and provides considerable guidance to the industry, including decisions with IRA clients. We break down these cases and …
Library » Converge, Volume 13: Fiduciary Fee Reasonableness
March 08, 2017 | Retirement Plans
Fee reasonableness is a fundamental and widely discussed fiduciary topic. Despite the importance of the topic, the Department of Labor (DOL) hasn’t given much insight or guidance as to what is considered a reasonable fee. As a result, much of the interpretation of what is and is not reasonable …
Library » Converge, Volume 12: Trump and the Fiduciary Rule—Managing Uncertainty
December 07, 2016 | Retirement Plans
With Donald Trump named president-elect, a myriad of current policies have been put into question - including the Department of Labor’s Fiduciary Rule. While this rule is not set to take effect until April 2017, there is question as to whether Trump’s election could halt its implementation. …
Library » Converge, Volume 12: What’s New with the Form 5500?
December 07, 2016 | Retirement Plans
The Department of Labor’s (DOL) new conflict of interest rule creates many new administrative requirements and disclosure requirements for fiduciaries. The requirements themselves can be daunting, but so too is the prospect of enforcing compliance. For that, the DOL empowered the plaintiff’s …
Library » 3 Influencers Driving Today’s Fiduciary Best Practices
November 21, 2016 | Fiduciary
As the Department of Labor (DOL) has redefined “investment advice,” they have undoubtedly accelerated the evolution of what it means to be a fiduciary. Regulators are but one of the three key influencers shaping best practices for new fiduciaries. Financial institutions are working aggressively …