Investment Advice For Participants Capturing Rollovers

CONSOLIDATION
Adding rookies to their team also allows specialists to increase their focus on rollovers, one-one-one advice and develop Capturing Rollovers & Developing more than ever before and you can be sure this year’s third quarter statements are going to shock many sponsors and participants. ... Access Document

Financial Advisers Fear Possible rollover Rules
Plan fiduciary to include anyone who provides advice for a fee. Within that proposal, the plan could be deterred from capturing rollover assets from participants, said Jason C. Roberts, a partner at Reish & Reicher. head of retirement sales and investment strategy at John Hancock Financial ... Get Document

Mutual Fund & Packaged Product Mid-Year Update
Key to Capturing Rollovers is Establishing Relationship Before Rollover Event 30% 42% 18% 68% 10% 0% 20% 40% 60% 80% ●Older participants are more likely to roll over assets Advice Investment Questionnaire and Model Portfolios ... Fetch Document

Guest Speaker: Jason C. Roberts, Esq., AIFA Founder And CEO ...
Rendering Investment Advice to Plan Participants? No; adviser’s role is limited to investment education and standardized materials are used. refrain from capturing rollovers or engaging in other cross-selling activity and existing arrangements should be ... Retrieve Here

Session Will Advise Advisers On Marketing Their Services As A ...
Refrain from capturing rollovers or engaging in other cross -selling activity and existing arrangements • Investment advice to participants service providers; • Discretionary • Non-discretionary Examples of Non-Fiduciary Services ... Access Content

CA Clr The State Of The Rollover And Retirement Income ...
Exhibit 1: Recordkeeper Perspective: Top Two Factors Why Participants Do Not Rollover DC Plan Balances, Capturing DC Assets Eligible for Distribution, Willingness to Pay for Financial Investment Advice by Retirement ... Read Full Source

ERISA Compliance And New Labor Department Regulations
Investment Advice to Plan Participants? No; adviser’s role is limited to investment education and standardized Yes; the adviser should refrain from capturing rollovers or engaging in other cross-selling activity and existing 10 are used. * For maximum protection, consider “outsourcing ... Retrieve Here

Retirement Plan Brokers Outsource Fiduciary Duties
As the Labor Department and lobbyists wrangle over who can provide advice to retirement plan participants, leaving the door open to capturing rollover business sell IRA rollovers, ... View This Document

Sales Idea: CLOSING THE DEAL: The Value Of Large Case Wholeslaers
Integrated benefit statements/websites that allow sponsors and participants to view all the additional interface also helps specialists increase efficiency by capturing more IRA rollovers and develop “new” retail New York Life Investment Management (407) 339-1139. Tony_Leonard ... Get Doc

Investment Education And Related Topics:
Your Profitable Participants Remain Hidden in Plain View. Author. Richard D. Glass. Capturing these opportunities is now relatively easy thanks to the available data some of the advisory services are now going directly to the American investor and offering to sell them investment advice. ... Read More

Breaking New Boundaries
Among industry participants. In the area of investment funds, for example, Euroclear is keen to make its FundSettle platform, risks associated with the manual capturing and processing of equity corporate event information. pre-advice messages are sent to the affected cSD Participants. ... Access Full Source

ERISA 408(b)(2) Fee Disclosure Regulations And The Impact On ...
Investment advice to Plan Participants? No. Adviser’s role is limited to investment education and standardized materials are used. refrain from capturing rollovers or engaging in other cross-selling activity and existing arrangements ... Access Document

Gary Sutherland
“Investment Advice for Participants: Capturing Rollovers” Article: RLR&C Bulletin, March 19, 2009 “Washington Update” Speech: “Investment Advice to Participants: What the ‘Final’ DOL Regulation Means” Article: RLR&C Bulletin, March 4, 2009 ... Access Doc

It’s A BIG Opportunity. - Financial Research Corporation
PPA Investment Advice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .64 Hybrid Plans and Participants Strategies for Capturing Retirement Rollovers (2002) ... Document Viewer

In The Comfort Zone
IRA rollovers continue to account for the bulk (52%) participants are generally familiar with mutual fund products easing the rollover process. In addition, Built-in investment planning advice and low minimum investment requirements ... Access This Document

Capturing The Retirement Opportunity
•75% of participants switch primary advisor or initiate advisory relationship • Clear focus on rollovers from commercial airline pilots •Advice tools focused on investment asset allocation ... Content Retrieval

Slide 1
And non-fiduciary support. Yes; individualized advice is provided to the plan sponsor. Is the Adviser Rendering Investment Advice to Plan Participants? No; the adviser should refrain from capturing rollovers or engaging in other cross-selling activity and existing arrangements should be ... Read More