Week of December 23, 2016
NOTE FROM THE EDITOR
Happy Friday, readers! Hold onto your hats! Because lawsuits in 2016 expanded beyond the typical excessive fees and stock drop cases, experts expect that retirement plans will continue to be hit with Employee Retirement Income Security Act (ERISA) lawsuits beyond this realm—namely, challenges to fund types, fiduciary processes and provider arrangements. After more than a decade, Tibble v. Edison, one of the first excessive fee cases to be brought against a retirement plan, is still being argued. Broadridge has identified three trends it expects will continue to drive retirement industry growth: a movement from commission-based to asset based fees, a preference for passive and lower-cost funds, and a more integrated participant experience. 
MOST POPULAR STORIES
Compliance
ERISA Lawsuit Filed Against Starwood Hotels
The case questions the hotel chain's 401(k) plan fees and investment choices.
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Client Service
Wealthy Millennials Prefer Frequent Adviser Contact
Many more Millennial millionaires say they expect their financial adviser to initiate contact at least once a week compared with wealthy Boomers and Gen Xers, according to Spectrem Group. 
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Compliance
DOL, IRS Plan Audits Becoming More Frequent and Thorny
There are a wide variety of mistakes plan fiduciaries can make; getting it all right is an ongoing team effort. 
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Data and Research
Fiduciary Rule May Push Advisers Out of DC Business
As implementation of the DOL’s fiduciary rule approaches, advisers may have to choose between remaining in the DC business and pursuing traditional wealth management.
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Magazine
Financial Shocks in Retirement
Nearly three-quarters of retirees will face an unwelcome surprise
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EDITOR’S CHOICE
Compliance
Expect More Varied ERISA Litigation in 2017
Aside from traditional allegations of excessive fees and mismanagement of company stock, ERISA litigation in 2016 included challenges to fund types, fiduciary processes and provider arrangements; expect more to come.
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Compliance
Tibble vs Edison Still Being Fought in Federal Courts
After multiple trips through the district and appellate court systems and consideration by the Supreme Court on multiple occasions, Tibble vs Edison took another step forward today.
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Client Service
DC Industry Changes Will Remain Even if DOL Rule Reversed
Broadridge identified three trends driving change in the retirement industry that it says will remain regardless of what happens to the DOL fiduciary rule.
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Client Service
Benefits of HSAs Key to Holistic Retirement Planning
Health savings accounts remained an increasing area of focus for readers of PLANADVISER during 2016.
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Investing
TDF Market Center of DC Industry Growth and Innovation
Combining an active investment approach with passive within the TDF can generate alpha when possible while also addressing cost concerns.
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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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