Technology
In response to the logistical challenges created by the Coronavirus pandemic, some states are taking steps to authorize virtual notarization.
Given the unprecedented circumstances and the various notary-based requirements to conduct business transactions in person, these developments could be...
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Part II of a two-part WOWcast series—Cyber Selling and Servicing—is coming. Technology is ubiquitous, and its use has only increased in importance as a means to communicate, meet needs, and reach clients and potential clients. In this special WOWcast series, a panel of exceptional individuals share...
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Technology is ubiquitous, and its use has only increased in importance as a means to communicate, meet needs, and reach clients and potential clients. In Part I of a special, two-part NTSA WOWcast series—Cyber Selling and Servicing—NTSA Past President Randy Aranowitz discusses with a panel of...
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Technology is ubiquitous, and its use has only increased in importance as a means to communicate, meet needs, and reach clients and potential clients. In a special, two-part WOWcast series that starts on May 7—Cyber Selling and Servicing—a panel of exceptional individuals share their expertise and...
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The IRS now will accept both paper and electronic requests for advice. The IRS announced on April 30 that it is allowing the electronic submission of requests for letter rulings, closing agreements, determination letters and information letters under the jurisdiction of the IRS Office of Chief...
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At the American Retirement Association, the health and safety of our staff is paramount, and we remain committed to the support of the critical work of our members. Consequently, amidst growing concerns about the Coronavirus, the increasing number of schools and businesses that are closing, among...
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The Plan Sponsor Council of America recently released its 62nd Annual Survey of Profit-Sharing and 401(k) Plans, documenting a record high rate of savings, alongside an uptick in Roth contributions and other trends. However, sometimes the things that don’t change can be just as telling…
Target-...
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Amid ever-increasing fee pressure and evolving expectations from plan sponsors, a new report warns that retirement plan providers must be prepared to consider economies of scale and to prioritize technology initiatives in order to maintain profitability.
According to findings from “The Cerulli...
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In MarketBeat, Matthew H. Hawes and A. Benjamin Klaber argue that when selecting and monitoring a service provider, one key issue facing retirement plan fiduciaries is their duty with respect to the privacy and security of plan participant data.
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In Part II of the 6th Series of the NTSA WOWcasts, Past NTSA President Randy Aranowitz interviews Jody Detillier, CEO of Detillier Financial Advisors and 2015 NTSA Elite Advisor. Detillier provides a look at his business model, K-12 marketing, using video to promote a business and conducting...
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Plan sponsors look to their websites for a wide range of information, but recordkeepers have work to do regarding their design and features, say analysts who studied sites and users’ experiences.
At the recent SPARK Forum in Palm Beach, FL, Olivia Jack and Andrew Way of Corporate Insight presented...
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On Oct. 22, the Department of Labor (DOL) released a proposed rule that would provide the ability to default participants into electronic disclosure of certain required participant documents. This week, we’d like to know what you think, and how you’d improve/modify that proposal, if at all.
As...
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Expert insights and the experience of the best of the best are available in a new format. The NTSA is offering an exclusive series of podcasts — the NTSA Elite Advisor WOWcasts — recorded by NTSA Elite Advisors, sharing insights on ways to build, expand and enhance your practice.
NTSA Elite...
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In Episode 4 of the WOWcast series, past NTSA President and inaugural NTSA Elite Advisor Randy Aranowitz speaks with Wat Keys, Vice President and financial advisor at CAPTRUST and one of the 2019 Elite Advisors. In Part I and III of Episode 4, they discuss the ways Keys serves his clients, with...
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Phishing — sending scam emails — is still the most common way cybercriminals try to steal sensitive data. The IRS has issued some tips to help tax and other professionals from falling prey to such phishing expeditions.
In Tax Tip 2019-120, the IRS says that more than 90% of data thefts start from...
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Not all broker-dealers and investment advisers are adequately addressing the various security risks in relation to their network storage solutions, which could result in unauthorized access to information stored on the device, according to a new SEC Risk Alert.
During recent examinations, staff...
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The times they are a-changin’. At an exciting — and, perhaps in some ways terrifying — pace. But in order to compete, one must embrace and employ the dazzling attributes and developments of our dizzying age.
Joey Coleman, Chief Experience Composer of the Design Symphony recently shared his insights...
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Clients’ expectations have changed. And that is in part explained, and fueled by, technology. In a Jan. 29 session of the NTSA 30th Anniversary Summit in Tampa, FL, Lincoln Investment Vice President of Branch Development Tom Lakatos offered his insights on this development.
Lakatos was definitive...
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Broker-dealers and registered representatives must link to FINRA’s BrokerCheck website on their home pages and any pages on their websites featuring profiles of representatives who work with retail investors. This requirement came into effect after the Securities and Exchange Commission approved a...
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A new survey finds that, among plans automatically enrolling participants, 7 in 10 use all three features of an autopilot program (auto enroll, contribution acceleration, and qualified default investment alternative (QDIA)), but the adoption rate varies by plan size. According to “How America...
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