Week of January 20, 2017
NOTE FROM THE EDITOR
Happy Friday, readers! All eyes are on the Washington political power transition this week, and so our wrap-up newsletter looks at some of the latest actions by the DOL, SEC and other federal regulators. We’ve heard a real variety of opinions regarding the approach that may be taken by the newly minted Trump Administration when it comes to enforcing ERISA and other investment regulations, and we anticipate hearing a lot more in coming weeks. Stay tuned to www.planadviser.com for all the latest. 
EDITOR'S CHOICE
Retirement Clients Concerned Over Federal Tax Policies
A Transamerica survey found that 34% of Americans believe extending the Saver’s Tax Credit to all filers regardless of income should be a priority for incoming President Donald J. Trump and the new Congress.
Read more >
All Eyes On Potential Washington Policy Reforms
Advisers are “keenly aware of their clients’ moods and recognize that there are no ‘one size fits all’ retirement plans in the face of an unpredictable future,” research shows.
Read more >
Firms Charge Ahead Regardless of Trump Policies
Retirement industry executives overseeing one of the largest recordkeeping businesses around say they are optimistic for the future of DC retirement planning, whatever policies emerge from Washington.
Read more >
SEC Names Retirement Investments Among 2017 Exam Priorities
Among the topline priorities for the Securities and Exchange Commission’s examination staff during 2017 will be “the services provided by public pension advisers” and an “expanding focus on senior investors and individuals investing for retirement.”
Read more >
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.
Read more >
MOST POPULAR STORIES
Compliance
Second DOL FAQ Published Detailing Communication Standards
Many of the questions advisers and providers have asked about the Department of Labor fiduciary rule relate to the line drawn between fiduciary and non-fiduciary client communications.
Read more >
Compliance
DOL FAQ Delves Into Investor Rights Regarding Advice
Flat-fee models clearly favored by the DOL for being perceived as less conflicted will have a competitive edge in the new fiduciary future.
Read more >
Deals and People
Retirement Industry Moves
Morningstar Expands Executive Leadership Team; Mercer Advisors Acquires Novos Planning Associates; FPA and T. Rowe Price Launch Active Management Educational Initiative; and more.
Read more >
Compliance
SEC Names Retirement Investments Among 2017 Exam Priorities
Among the topline priorities for the Securities and Exchange Commission’s examination staff during 2017 will be “the services provided by public pension advisers” and an “expanding focus on senior investors and individuals investing for retirement.” 
Read more >
Client Service
Study Finds DC Plan Advisers and Sponsors Have Different Focus
Voya contends its study suggests an opportunity for advisers to add value by educating sponsors about the factors that contribute to retirement readiness.
Read more >
Editorial: Alison Cooke Mintzer alison.mintzer@strategic-i.com
Advertising: Paul Zampitella paul.zampitella@strategic-i.com
Subscribe to PLANADVISERDash, click here.
To unsubscribe, click here.
BrightScope / CIO / FWW / Global Custodian / Investor Economics / LiquidMetrix / Market Metrics /
Matrix Solutions / PLANADVISER / Plan For Life / PLANSPONSOR / Simfund / The Trade
To Unsubscribe, click here.