Top of Mind

Showing entries with the topic “Legislative/Regulatory”.

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Sep 2017

Collective Investment Trusts (CITs) and 403(b) Plans: An Update

Recently, we wrote a Top of Mind post about how the University of California (Cal) took the bold step of adding CITs to its 403(b) plans.  For decades, CITs have been the sole domain of annuities and mutual fund products.  As we noted, while it’s been known that CITs are a permissible inve…

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Aug 2017

Trends that Matter

In our most recent issue of Trends that Matter, participant engagement and fiduciary responsibility were the hot issues for retirement plan sponsors.  While those trends remain current, others have emerged that should be top of mind with plan sponsors.  The nonprofit sector is reacting …

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Jul 2017

Another Comment Period on the Fiduciary Rule

On June 29th, while you were no doubt busy preparing for the Fourth of July holiday, the Department of Labor (DOL) decided it would be a good time to issue yet another request for comment on the fiduciary rule.  Releasing items on a Friday, or just in advance of a holiday weekend, has been a co…

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May 2017

The First 100 Days Are Done. Now What?

My colleague, Jeff Snyder, recently appeared on an Asset TV panel to discuss the implications of President Trump’s first 100 days in office on retirement plans (for those concerned about the future landscape of retirement plans, I strongly suggest a viewing). The discussion highlights many of the re…

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Apr 2017

What’s Cooking in Congress for Retirement Plans?

On my new Twitter Feed, I post the best retirement content I see every day, so that you don’t have to read every article that arrives in your inbox.  One of my recent posts happened to come from my colleague, Jeff Snyder, who was fortunate enough to sit down with Preston Rutledge, Tax and Benef…

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Apr 2017

Fiduciary vs. Investment Manager: What’s the Difference?

In an environment of increased fiduciary litigation, advisors and other service providers have ramped up their marketing efforts to provide risk management services to plan sponsors. Such efforts have resulted in plan sponsor confusion as to the type of services that are being offered, as well as th…

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Mar 2017

The Skinny on State-Run Auto-IRAs

My colleague, Jeff Snyder, recently interviewed Lisa Massena, Executive Director of the Oregon Retirement Savings Plan. As you may be aware, Oregon is the first state in the nation to roll out a state-run auto-IRA program. The first employers will adopt the program this July, in pilot form.  …

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Feb 2017

Some "Top of Mind" Thoughts on the Fiduciary Rule Delay

While Trump’s Presidential Memorandum requesting the Secretary of Labor to analyze the Fiduciary Rule was not a direct request for a delay in the applicability date, his directive had the same effect. We are covering the delay extensively, most recently in this Compliance Alert as well as next week’…

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