Are Plan Fiduciaries Liable for Cyberattacks?
Add to the list of plan fiduciary concerns, cyber-related threats to plan assets and participant personal information. These days much of that information lies in the hands (or, more accurately, the...
View ArticleFINRA to Review BDs’ Cultural Values, Adherence to Them
How do broker-dealers establish and apply their cultural values? And do they guide those firms’ business conduct? The Financial Industry Regulatory Authority (FINRA) is conducting an inquiry to find...
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SEC Finalizes Rules Expanding Risk, Liquidity Disclosures for Funds, ETFs
The Securities and Exchange Commission has voted to adopt changes to “modernize and enhance” reporting and disclosure of information by registered investment companies and to enhance liquidity risk...
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Complying with the DOL Rule: What and by When
Many advisors are waiting for word from their BD or RIA about how they are going to deal with the DOL conflict-of-interest rule before they can figure out how they will need to change their business –...
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SEC Chair White to Step Down
Securities and Exchange Commission Chair Mary Jo White, after nearly four years as the agency’s head, has announced that she intends to leave at the end of the Obama administration. White, who became...
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Take Advantage of These 6 ‘Low-Hanging’ Opportunities
Advisors and plan sponsors should be taking advantage of the “low-hanging” opportunities that still exist, says industry insider Steff Chalk. In his most recent column in NAPA Net the Magazine, Steff...
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Addressing Cybersecurity Concerns
While cybersecurity is not a new concern for retirement plan professionals, it’s an important one, since plan participants’ personal and financial information is maintained and shared by multiple...
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Will Rising Rates Ravage Retirements?
A new survey focuses on a topic that advisors don’t seem focused on – but perhaps should be. For the past three years, Fidelity has explored issues that are top-of-mind for advisors through its...
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Case of the Week: Cybersecurity and Retirement Plans
The ERISA consultants at the Learning Center Resource Desk, which is available through Columbia Threadneedle Investments, regularly receive calls from financial advisors on a broad array of technical...
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Study Gauges FAs’ Thought Leadership Preferences
Thought leadership, especially when focused on how to increase client satisfaction or generate retirement income, is a “big differentiator” when it comes to developing targeted and successful...
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Willis Towers Watson Offers 10 New Definitions for DC Plan Vocabulary
As DC plans continue to grow in size and complexity, the retirement industry needs to keep up and redefine terms to better reflect the new environment, Willis Towers Watson says in a new report....
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Institutional Investors Expect Only Modest Adjustments, Despite Anxieties
Despite being wary of fragile market conditions, rising interest rates and the growing popularity of passive investments, new research shows that institutional investors plan to make only modest...
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Dispelling a Mistaken Belief About the Fiduciary Regulation
Headlines notwithstanding, the fiduciary regulation has been in effect since June of last year — but there are misunderstandings aplenty, and in his most recent blog post, Fred Reish takes one on....
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Project Seeks to Expand Cyberattack Support for Retirement Plan Data
What are firms in the retirement industry doing to help protect against cyberattacks and the threat of financial and participant account information being held hostage? A recent Bloomberg News article,...
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Fiduciary Responsibility, Risk Management Top List of CIMA Enhancements
Knowledge of passive investment strategies, portfolio risk management, behavioral finance, fiduciary responsibilities and ethics top the list of enhancements to the Certified Investment Management...
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Addressing Cybersecurity Concerns
While cybersecurity is not a new concern for retirement plan professionals, it’s an important one, since plan participants’ personal and financial information is maintained and shared by multiple...
View ArticleClik here to view.
Will Rising Rates Ravage Retirements?
A new survey focuses on a topic that advisors don’t seem focused on – but perhaps should be. For the past three years, Fidelity has explored issues that are top-of-mind for advisors through its...
View ArticleClik here to view.
Case of the Week: Cybersecurity and Retirement Plans
The ERISA consultants at the Learning Center Resource Desk, which is available through Columbia Threadneedle Investments, regularly receive calls from financial advisors on a broad array of technical...
View ArticleClik here to view.
Study Gauges FAs’ Thought Leadership Preferences
Thought leadership, especially when focused on how to increase client satisfaction or generate retirement income, is a “big differentiator” when it comes to developing targeted and successful...
View ArticleClik here to view.
Willis Towers Watson Offers 10 New Definitions for DC Plan Vocabulary
As DC plans continue to grow in size and complexity, the retirement industry needs to keep up and redefine terms to better reflect the new environment, Willis Towers Watson says in a new report....
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