Library

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 …

Library » Regulatory FAQs: Department of Labor Fiduciary Re-Proposal

November 23, 2015 | Retirement Plans

I’ve been told that the Department of Labor’s proposed definition of fiduciary expands the number of people who would be considered “fiduciaries” under ERISA. What does that really mean? In April 2015, the Department of Labor (DOL) issued a proposed rule that would require retail investment …

James Esposito

Qualified Plans Consultant

Library » Regulatory FAQs: Cash Balance Plans

October 27, 2015 | Retirement Plans

Cash balance pension plans are growing in popularity, but I don’t know much about them. How is a cash balance plan different from a traditional defined benefit pension plan? It’s best to start this discussion with an illustration. If you were given a choice between the following two pension …

Library » Department of Labor Re-Proposes Conflict of Interest Rule, Schedules Hearings

August 12, 2015 | Retirement Plans

The regulatory environment is an area that Manning & Napier constantly monitors for potential ripple effects on investment objectives. Recently, there has been no shortage of drama as the Department of Labor (DOL) unveiled its conflict-of-interest proposal for public comment. In April, the DOL …

Markets & Economy » Share Buybacks in Today’s U.S. Equities Environment

July 13, 2015 | Investment Themes

S&P 500 companies announced a record $133 billion in share buybacks in April, furthering a trend that has provided support to U.S. equity markets in recent years. The surge in companies buying back their own stock is getting a lot of attention these days. It seems normal for those in the …

Markets & Economy » The Pharma Pipeline: Exploring an Underestimated Investment Theme

June 29, 2015 | Investment Themes

Worldwide equity markets have had an impressive showing since emerging from the Great Recession. The run-up in prices has coincided with equities becoming broadly more expensive. Some regions offer more attractive opportunities than others from a valuation standpoint, but the overall …

Library » Tibble v. Edison: A Reminder for Fiduciaries

June 11, 2015 | Retirement Plans

The recent 9-0 Supreme Court decision in Tibble v. Edison should remind plan sponsors and their advisors to review investment options regularly and to keep careful records documenting the review and the reasons for any decisions made. The Case Under ERISA, participants have six years to sue for …

Library » Converge, Volume 4: Preparing for an Audit by the Department of Labor

December 10, 2014 | Retirement Plans

The Department of Labor (DOL) has recently stated that it intends to focus additional scrutiny on health plans in its auditing and enforcement programs. Some guidance was recently provided at the Annual Meeting of the International Foundation of Employee Benefit Plans in Boston. In particular, it …


Loading...