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BY Ted Godbout 1/18/2018
Knowledge of passive investment strategies, portfolio risk management, behavioral finance, fiduciary responsibilities and ethics top the list of enhancements to the Certified Investment Management Analyst (CIMA) certification process, according to a new report.Based on findings in the Investments...
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BY Nevin E. Adams, JD 1/17/2018
If at first you don’t succeed, try, try again – and the plaintiffs in an excessive fee suit have done just that.The suit, Daugherty v. The University of Chicago, was filed in May, seeking class action status for some 36,000 participants in plans at the University of Chicago (the University of...
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BY Ted Godbout 1/17/2018
A new survey examining what consumers look for in a financial professional finds that personal communications and overall experience are key factors in building trust and solidifying the relationship.More than half of Americans say their trust would increase if a financial professional communicated...
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BY Ted Godbout 1/17/2018
While adoption rates of environmental, social and governance (ESG) factors among institutional investors have leveled off, larger funds have consistently had the highest rate of incorporation, new research shows.In Callan’s 2017 ESG Survey, the firm found that fund sponsors incorporating ESG...
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BY NAPA Net Staff 1/17/2018
ERISA attorney Fred Reish looks at another “mistaken belief” about the fiduciary regulation.In his most recent blog post on the fiduciary regulation, Reish explains that under that regulation, and the transition Best Interest Contract Exemption (BIC) – which has been in effect since June 9, 2017 –...
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BY John Carl 1/17/2018
The ERISA consultants at the Retirement Learning Center Resource regularly receive calls from financial advisors on a broad array of technical topics related to IRAs, qualified retirement plans and executive compensation arrangements.A recent call with a senior financial advisor from Cafaro...
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BY NAPA Net Staff 1/16/2018
The advent of 2018 has brought new requirements for practitioners who contact the IRS Practitioner Priority Service line for assistance.RSM US LLP, part of a global network of independent audit, tax and consulting firms, recently issued an alert that the IRS has changed its verification procedures...
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BY Ted Godbout 1/16/2018
Legislation has been reintroduced in the New Jersey state legislature to require certain disclosures by non-fiduciary investment advisors regarding their fiduciary status with clients.Reintroduced Jan. 9 by state Senator Patrick Diegnan, Jr., (D-Middlesex), along with Assemblywoman Nancy Pinkin (D-...
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BY Ted Godbout 1/16/2018
Every month, it seems, new research comes out suggesting that Millennials are doing better at saving than their older counterparts. But are they really?The latest results come from Discover, which found that Millennials apparently are outperforming older generations as a whole when it comes to...
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BY Ted Godbout 1/16/2018
Whether consumers feel experienced is somewhat correlated to their level of investible assets, but not as strongly as one might assume, according to new research.In “Experience Divide: How Beliefs and Truths About Investing Experience Affect Loyalty and Attitudes to Active-Passive, HSAs, and...
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