United States
Stay ahead of industry changes
Social, political and global events contribute to an evolving financial services industry. So how do you stay ahead of regulatory changes and industry trends? Find tools and resources designed to help you and your clients apply best practices, fulfill legal obligations and uphold fiduciary standards.
Advisor Q&A Series
Every day, ERISA specialists field questions from advisors like you about how to help clients navigate industry trends and regulations.1 Advisor Q&A Series is your window into those conversations. Explore a range of topics, each one answering a specific question from your peers.
Conversation Toolkits
Stay ahead of industry changes with tools designed to help both you and your clients. Topics range from helping business owners manage risk to evaluating fee disclosures — each with actionable solutions that engage your clients.
Managing risk for business owners
Help business owners implement ERISA-compliant strategies to manage their fiduciary risk when sponsoring 401(k) and other defined contribution plans.
Pre-Meeting Overview | Meeting Worksheet | White Paper
Maintaining retirement plan documents
Ensure business owners meet best practices for their workplace retirement plans by updating the plan documents annually to comply with federal laws.
Writing investment policy statements
This toolkit offers business owners tips to write an effective policy statement (IPS) — something increasingly recognized as a tool to demonstrate they're following a prudent process when selecting, monitoring and replacing investments in their workplace retirement plans.
Making QDIA selections
Instruct business owners on the guidelines for selecting qualified default investment alternatives (QDIAs) in their retirement plans to ensure compliance and reduce risk.
Evaluating fee disclosures
This toolkit helps business owners evaluate whether or not their workplace retirement plan fees are reasonable to ensure they're meeting cost criteria as defined by regulatory agencies.
Protecting plan sponsors from liability
This toolkit helps business owners meet the compliance measures required by 404c of ERISA to help them avoid liability for their workplace retirement plan's performance.
Disclosures
1The Resource Desk is staffed by the Retirement Learning Center, LLC, a third-party industry consultant that is not affiliated with Columbia Threadneedle Investments. Any information provided is for informational purposes only. Please consult a tax advisor or attorney for specific tax or legal needs.
This material is for educational purposes only. It cannot be used for the purposes of avoiding penalties and taxes. Columbia Threadneedle Investments does not provide tax or legal advice. Consumers should consult with their tax advisor or attorney regarding their specific situation.
Tagged with: Industry Trends, Practice Management
