Even though TDFs have been gaining some impressive traction in the DC plan space, many participants are not using these investment vehicles in the way they were designed....
The defined contribution retirement plan market saw an unprecedented number of lawsuits brought against plan sponsors and their providers in 2016, according to Cerulli Associates.
A new survey finds that as implementation of the DOL’s fiduciary rule approaches, more than half of advisers expect to increase investment in client service and compliance technology.
Small business owners have embraced the strategy of offering a safe harbor 401(k) plan to simplify compliance with annual ADP/ACP and top heavy nondiscrimination testing.
Data from Cerulli Associates shows a bright future for fee-based advisory arrangements—but individual advisory firms may struggle to maintain profitability.
A U.S. District Court has handed down a DOL-friendly ruling in one piece of anti-fiduciary rule litigation that is seeking more leniency for fixed-index annuity providers.
The latest example of retirement plan fee litigation questions the offering of an “easy enrollment” function that favored investment into the company’s own TDF mutual funds.
A federal court judge found it implausible that signs of trouble in an underlying holding of one of Disney's retirement plan mutual funds triggered a duty for fiduciaries...
Outsourced chief investment officer assets managed with discretion have more than doubled to nearly $1.3 trillion over the past five years, according to Cerulli Associates.
As the implementation date for the Department of Labor (DOL)’s Conflict of Interest rule approaches, Capital One Investing will be moving away from commission-based products within its retirement-account...
One early commentator tells PLANADVISER he expects the new DOL fiduciary rule will still be implemented, yet there is undoubtedly a new atmosphere of uncertainty with the presidential...
A new analysis contends that, with careful governance practices in place, managing a compliant and effective retirement plan doesn’t have to be burdensome or even difficult.
The firm initially planned to halt commission-based brokerage sales to retirement accounts when the first DOL fiduciary rule deadlines arrive in 2017, but Merrill Lynch has decided to...
In light of the DOL fiduciary rule, the two firms plan to roll out a series of new compliance tools and initiatives including a Product Mix Transition Calculator...
A new suite of technology driven solutions from Broadridge Financial Solutions seeks to solve pressing questions related to the Department of Labor conflict of interest reform.
Morgan Stanley says its wealth management clients working with advisers “will continue to have choice in how they pay for retirement accounts covered by the new Department of...