Week of January 06, 2017
NOTE FROM THE EDITOR
Happy Friday, readers! In the last several weeks PLANADVISER has received volumes of 2017 market outlook commentary, offered up by a variety of respected retirement industry providers. While investment and asset management markets are always undergoing some change, providers today say they are seeing clients and the competition evolve faster than ever.  Adding to regulatory pressure, global growth challenges and political uncertainty are expected to persist during the year. As volatility climbs and correlations fall, conviction will be crucial for investors during the year to come. 
EDITOR'S CHOICE
Investors Urged to Stick With Equities, Staying Confident in 2017
The year that concluded in December started with one of the worst opening months for the equity markets on record, followed by a strong rally in Q4 that delivered solid annual returns; what will 2017 bring?
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Populism Just One of Many Market Forces in 2017
Investment managers are assessing how social forces such as populism and a desire in many industries for less regulation could impact global growth and portfolio performance.
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RIA Industry Sees Stalling Organic Growth
Data provided by Fidelity shows organic growth among RIA firms dropped to lowest level in five years; yet there is reluctance to take on major change in terms of pricing and value proposition.
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Younger Investors Fuel Advice Market Growth
“In 2008, 40% of respondents indicated that they were interested in paying for advice; by 3Q 2016, the percent grew to 50%,” says Scott Smith, director at Cerulli.
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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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MOST POPULAR STORIES
Compliance
Claims Against Prudential, CAPTRUST Dismissed in Fee Suit
U.S. District Judge Victor A. Bolden first determined that Prudential was not a fiduciary with respect to the lawsuit’s allegations.
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Compliance
Employer Stock Drop Suit Victory Upheld by D.C. Circuit
To appreciate the riskiness of a stock intimately involves its market valuation, and to argue that the ESOP fiduciaries should have been able to outguess the market’s valuation is inherently unfair absent special circumstance, such as fraud. 
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Compliance
Fee Litigation Targets Multiple Retirement Plans at Health System
Plaintiffs suggest their employer should have allowed a single recordkeeper to service its traditional DC plan and its 403(b)—and that it paid excessive fees by paying for distinct administrative services for each. 
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Compliance
SEC Offers Guidance on DOL Fiduciary Rule Compliance
Since the DOL conflict of interest rule’s publication, mutual fund providers and their adviser-intermediaries have also been asking the SEC extensive questions about sales loads, fee schedules, etc. 
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Investing
DC Plan Sponsors See Reason for Caution in ESG
Retirement plan advisers expect a steady stream of new ESG/SRI investment products in 2017, but it is less clear that sponsor clients are interested. 
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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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