Tag: Compliance services

Presented here are the results of several dozen live polling questions fielded at the 2017 PLANADVISER National Conference, gathered during three days of highly detailed discussion of industry...

The new business-development capability allows advisers to illustrate how certain changes could benefit a prospective client’s portfolio.

With the determination letter program gone, Wagner Law Group is helping plan sponsors remain compliant with the IRS.

The financial services and retirement advisory industry has collectively invested tens, if not hundreds of millions of dollars in the last decade to boost the use of big...

Cetera Expands Retirement Business; Mercer Expands Leadership in Detroit Office; OneAmerica Names West Coast Relationship Executive.

The firm is launching a new website and digital tools to help advisers market their practice to retirement plan sponsors.

In addition, many are not confident in their firm’s cybersecurity.

Plan sponsors need to take a closer look at the various components that determine the health of a plan in order to remain compliant with regulators and to...

Fiduciary Benchmarks is planning to launch a series of services in response to the DOL’s conflict of interest rule.

New Cerulli Associates research identifies “pain points” at the root of advisers’ decisions to change firms—and what leadership can do to address staff concerns before losing key advisers. 

MainStay’s Retirement Institute provides resources for advisers to use as they help their plan sponsor clients and prospects navigate the governance landscape.

If a recommendation is given in a careful and controlled manner, but there is no record made, does that mean it is materially less prudent? 

“Financial advisers’ clients need to understand how market volatility can hurt their chances of a successful retirement, and they also need to know that options are available to...

Advicent introduced new client report integration capabilities in its latest update of the NaviPlan financial planning software. 

The “Essential Retirement Advisor” program offers broad fiduciary training designed to help advice professionals stay up-do-date with the latest regulatory challenges. 

The benchmarking tool will allow advisers to filter based on account size range; account types; services provided; and types of firms. 

By partnering with Larkspur Data, RiXtrema will enhance its current retirement plan compliance offerings with added features.