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Library » November 2017 Perspective

November 06, 2017 | Market Commentary

The U.S. Economy In recent months, we have discussed the emergence of a synchronized global expansion unfolding across most economic regions. Though the expansion is not expected to be a sharp move, it has the potential to impact the U.S. economy and has thus far contributed to a modest …

Shelby George

Senior Vice President, Advisor Services

Library » Converge, Volume 11: Navigating New Regulations

September 26, 2016 | Retirement Plans

Come April 2017, many financial professionals will find themselves acting as an ERISA-like fiduciary. The new rule broadens the definition of “investment advice” to impose ERISA-like fiduciary obligations on all advisors to qualified retirement plans as well as IRAs and other tax-deferred …

Shelby George

Senior Vice President, Advisor Services

Library » Converge, Volume 11: Managing Litigation Risk

September 26, 2016 | Retirement Plans

The threat of a lawsuit is scary. With a new class action filing making headlines daily, many plan fiduciaries think they could be next. Unfortunately, too many fiduciaries try to pacify litigation fears by focusing on allegedly poor plan decisions cited in the headlines. Often the result is …

Shelby George

Senior Vice President, Advisor Services

Library » Converge, Volume 10: Best Practices in a New Regulatory Environment

May 20, 2016 | Retirement Plans

A new wave of 401(k) litigation and the Department of Labor’s (DOL) impending conflict of interest regulations has the retirement industry aflutter. With so much activity in the realm of “fiduciary best practices,” it is difficult to keep track of what has changed and what has remained the same. …

Shelby George

Senior Vice President, Advisor Services

Library » Converge, Volume 10: DOL Encourages Participant Education

May 20, 2016 | Retirement Plans

The widely anticipated final fiduciary rule from the Department of Labor (DOL) is here. As expected, the rule broadly expands the definition of fiduciary investment advice but provides welcome flexibility for providing general education materials to participants without triggering fiduciary …

Shelby George

Senior Vice President, Advisor Services

Library » Converge, Volume 8: The DOL’s Proposed Fiduciary Rule

November 30, 2015 | Retirement Plans

There has been plenty of industry chatter deconstructing the Department of Labor’s (DOL) proposed rule defining who is a “fiduciary” of an employee benefit plan under the Employee Retirement Income Security Act of 1974 (ERISA) as a result of giving investment advice. Much of the industry …

Shawn Sanderson

Senior Investment Consultant

Library » Converge, Volume 7: Custom Target Date Fund Perspective

August 06, 2015 | Retirement Plans

Target date fund (TDF) selection and monitoring is becoming more important as the assets held in these funds grow. Within the next decade, assets held by target date funds may surpass $1.5 trillion. In recognition of the challenges facing plan fiduciaries specific to evaluating TDFs, in …


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