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Move to the Head of the Class: Online Class Software Can Help Employees Learn Retirement Savvy

Employees who are stressed about having appropriate skills for their jobs may take matters into their own hands to learn important skills. Plan sponsors can use these platforms to help their employees learn how to be just as savvy at planning for retirement as in cranking out field reports in SalesForce.

Beware of Greenwashing in Investment Reporting

With the coverage of the continuing climate crisis increasing, so may be the calls for caution around products that consider themselves environmentally friendly. Employees may want to be just as wary of allegedly green investment funds.

Risk Savvy Retirement Planning: Use Your Enterprise Risk Management Tools to Educate Employees

Many employees may think investing in the stock market is too risky. If risk is an issue, why not explain risk management using the same tools your company uses?

Technology Watch: What to Keep an Eye on for 2020

Keeping up with technology for your financial advisory firm may feel like trying to keep tabs on your teenager. It’s more than watching trends. It’s about being able to see how trends in tech may pose a risk to your clients or their business.

How Little May Make it Big: Microloans for the Middle Class

Potentially risky microloans aren’t for all investors, but they may help some investors diversify their accounts and given the potential for consolidating (and getting out from under) credit card debt, they may also help a lot of middle class would-be borrowers.

Things That Make You Go “Hmmmm…..”: Making it Easy to Raise Compliance Concerns

Your firm can thwart ethics and compliance problems early on by encouraging employees to ask questions and spot potential problems early on through a compliance friendly environment.

Why UNFOCUS Time Might Help Your Employees Solve Their Retirement Readiness Problems

While the U.S. news media seems steeped in the benefits of mindfulness and learning to concentrate or focus, maybe its time to hear the benefits of unfocusing for a little while.

Divorce and Retirement Planning: Let’s Talk About How You Talk About Your EAP

In the wake of an unexpected separation, employees may be focused on their immediate major financial needs. Retirement planning is most likely the largest, but farthest from top of mind, for most couples. Yet, Plan Sponsors may be able to help with just a few tweaks to their EAP information.

Crytpo-Currency as the Newest Snake Oil? Tulips, Beanie Babies and BitCoin

There may be something deeper in the recent revival of interest in Bitcoin, and Plan Sponsors should take note.

Are You Achieving Someone Else’s Goals? Success by Your Own Terms

For some advisors the last five years have been like a dust storm, obliterating any boundaries of where we’d come from. And where we had planned to go? How can you get back, and stick with, your own goals?

Financial Feminism Two Years Later: What Can You Learn from WorthFM vs. Ellevest?

In late 2016 two female focused financial platforms faced off. One survived. How does that success help advisors understand financial feminism?

RecordKeeping in an Ephemeral World

While you may wish that those rules would go up in a puff of smoke, you definitely don’t want the communications to disappear in 24 hours. That means when it comes to ephemeral communications you need to be on your toes.

Recordkeeping Requirements and the Courts: Plan Sponsors May Face Scrutiny on Their Recordkeeper

Not too long ago the lawsuit pending against Anthem was settled for a remarkable $23.6 million figure. And while that amount may give plan sponsors pause, several other aspects of the case are worth noting. Here’s a deep dive into several parts of the lawsuit and settlement that can help plan sponsors.

Planning for a Plan Audit... Just in Case

Planning for an audit sounds like rooting for a root canal, but unlike unwanted dentistry, planning for a plan audit can significantly lessen the pain involved. Here we detail both IRS and DOL audit processes so you can be prepared.

Helping Employees Understand Target Date Funds and Other Automatic Investment Tools

Employees may want to treat retirement like their laundry: set it and forget it. But retirement, and any investing, isn’t as easy as lather, rinse, repeat. Here’s how plan sponsors can help employees appropriately use automatic investment tools.

Compliance: Internal Controls Vital in Recent FINRA Decisions

Recent decisions and plea agreements between FINRA and financial advisor firms show that internal compliance controls are more important than ever. We’ve reviewed a few examples from the agency to give you a sense of how to avoid similar pitfalls.

Money and Wellbeing by the Numbers: How Happy Are Your Clients?

A financial advisor may keep the doctor away. Two new studies show that financial advisors may play an important role in worker’s sense of well-being. Knowing the numbers may help you understand how to help your clients even more.

Supreme Court's Next Session Full of ERISA Potential: Four Cases You May Want to Watch this Fall

While many may be watching the market for the next signs of recession, it may be smart to also keep an eye on the courts. Here is a quick overview of what to keep in mind from the highest court for the Fall of 2019 on ERISA.

But the contractors get better benefits than us! How to Better Explain Employee Benefits

If your company, like most relies on outside contractors, your employees scratching their heads about why the contractor’s get better benefits. Here’s a few tips on how to talk to employees about benefits.
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