January 5, 2017
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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Laser Focus on Clients Pays Off
A new research report published by FP Transitions and SEI Advisor Network suggests that advisers willing to double down on carefully managing the client experience can generate serious return for their own business.
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What Clients Will Pay For Has Shifted
“Plan sponsors are less willing to pay for services that have now become fully or partially commoditized through the disintermediation of the Internet, such as investment research. Advisers have had to reduce their fees as many of these services are no longer seen as differentiators.”
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COMPLIANCE CONSULT: Advisers’ Sales Partners
If sellers fail to qualify for the independent fiduciary exception or some other exception, they likely will be considered fiduciaries in connection with a sales transaction involving an ERISA account or IRA. Therefore, sellers must comply with an exemption under ERISA or the IRC, as applicable.
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2018 Contribution and Benefit Limits Announced
Advisers More Apt to Use CITs in Client Portfolios
PANC 2017: Behavioral Finance and the Future of Improving Retirement Outcomes in the Digital World
PANC2017 Improving Plan Design for Retiring Participants
Recruit, Retain, Retire
So much of the financial wellness conversation to date has focused on the potential health care cost mitigation of adopting organizations.
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Cultivating Your Practice
Repeated and time-consuming manual processing-tasks simply cannot be left to an adviser or another human staffer to complete as profit margins continue to be squeezed tighter and tighter.
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Working With Professional Services Firms
Advisers need to illustrate to these professionals that rather than pay substantial taxes on profits, it often makes far greater economic sense for them personally to create a cross-tested 401(k) retirement plan paired with a cash balance plan, and then to make the secondary argument that it benefits their employees as well. 
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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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