Week of November 04, 2016
NOTE FROM THE EDITOR
Happy Friday, readers. Over the past few weeks a clear theme has emerged among the many research reports and studies shared with PLANADVISER. It seems that financial services firms of all descriptions—banks, brokerages, recordkeepers—are focused on new ways to build client trust and measure the quality of the client experience. Collected below are some highlights that should offer helpful perspective for any DC advisory practices engaged in this critical effort. 
MOST POPULAR STORIES
Products
Strategic Insight Announces BrightScope Acquisition
The parent company of PLANADVISER announced the next stage of its growth strategy with the acquisition of BrightScope. 
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Practice Management
Technology-Committed Firms See a Lot to Like in DOL Fiduciary FAQ
Attorneys and executives working for robo advice technology providers suggest the DOL fiduciary rule—as enumerated by the new FAQ publication—paves the way for their approach to succeed.
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Compliance
Fiduciary Rule Could Curtail Providers’ Communications With Participants
Broadridge looks at the new fiduciary rule’s “far-reaching implications for the retirement plan participant experience” and how to avoid pitfalls.
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Compliance
Detailed Fiduciary Rule FAQ Published By DOL
Acknowledging that “smart regulation is only as effective as its implementation,” the DOL has issued extensive guidance for advisers and providers seeking to comply with the new conflict of interest standards and prohibitions.
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Compliance
IRS Announces 2017 Limitations for Retirement Plans
The deferral limit for defined contribution plan participants remains unchanged at $18,000.
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EDITOR’S CHOICE
DC Advisers Are Among Many Focused on Client Trust
Retail banks, active investment managers, defined contribution plan advisers, recordkeepers—they’re all focused on building client trust as a crucial element of future sales success.  
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Trustworthiness Trumps Other DC Adviser Satisfaction Factors
Trustworthiness is a must-have ingredient for brand consideration in the defined contribution industry, according to a new analysis from Cogent Reports.
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Putting Up Fiduciary Guardrails Can’t Wait
“The history of the ERISA industry has shown that any time there’s real change there is also real opportunity that comes along with it.”
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Presentation Matters with Millennial Investors
A new study finds that just 11% of Millennial retirement plan participants feel comfortable managing their investments themselves—yet many in the generation hesitate to pursue advice. 
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Fastest Growing Advisory Practices Focus on Client Interface
New data suggests that financial advisers focused more on client management than on investment management see much stronger asset growth and retention. 
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Editorial: Alison Cooke Mintzer alison.mintzer@strategic-i.com
Advertising: Paul Zampitella paul.zampitella@strategic-i.com
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