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News Stories Archives - Since 1998
Making 401ks Easier In Challenging Times
A prominent behavioral economist offers tips for helping participants navigate retirement savings decisions...
401kWire.com - Thursday, November 19, 2020
T. Rowe Price's $167B-AUM New Unit
The publicly traded asset manager is creating a new, similarly branded arm...
MutualFundWire.com - Thursday, November 19, 2020
Pondering Reg Changes Under a Biden Administration
What will a potential change in presidential administration mean for the DC industry? ..
401kWire.com - Thursday, November 19, 2020
TSP Adds Two Vendors
BlackRock will split the giant DC plan's investment lineup with another big asset manager...
401kWire.com - Thursday, November 19, 2020
GRPAA Teams Up On PTO
The KPA network is rolling the alliance out over this quarter and the next...
401kWire.com - Thursday, November 19, 2020 - Reader Rating: 5
Small Fund Firms Remain Almost $22B In the Red
The M* team updates U.S. flows data for October 2020 for ETFs and long-term, open-end mutual funds...
MutualFundWire.com - Thursday, November 19, 2020
Most Participants Aren't Fluent In Investing
A new report underscores a knowledge gap...
401kWire.com - Thursday, November 19, 2020
"We Love Data, We Love Simplification, and We Love Personalization"
An RKer chief talks to 401kWire about what's next for the firm, which works with about 90,000 plan sponsors...
401kWire.com - Tuesday, November 19, 2019
A Sales SVP Leaves Lazard AM After Three Years
A former SSgA employee exits Lazard Asset Management...
MutualFundWire.com - Tuesday, November 19, 2019 Views
On Long Island, a $2B-AUA KPA Team Sells
The team is moving to a nearby office while keeping their B-D, OSJ, and RIA affiliations unchanged...
401kWire.com - Tuesday, November 19, 2019 - Reader Rating: 5
A 26-Year Fidelity Vet Exits
After serving several different positions with the firm, this executive parts ways and is "open to job opportunities."..
401kWire.com - Tuesday, November 19, 2019
Has PE Put a $293B-AUM Shop On the Block?
There's no word yet on who might buy the asset manager...
MutualFundWire.com - Tuesday, November 19, 2019 Views
An Rker's LA Crowd Moves
Their local team is now based in downtown Los Angeles...
401kWire.com - Tuesday, November 19, 2019
PE Buys and Combines Two MF Servicers
The combined firm will have about $150 billion in AUA and support more than 840 funds. The two companies have more than 500 staff in total...
MutualFundWire.com - Monday, November 19, 2018 Views
Boan Confirms Two Transamerica Retirement Promotions
Two were promoted within Transamerica to more senior positions as the company confirmed the joining of Thomas Fleming...
401kWire.com - Monday, November 19, 2018
Two-Thirds of the Giants Suffer Outflows
M* updates flows data for ETFs and long-term open-end mutual funds for October 2018...
MutualFundWire.com - Monday, November 19, 2018 Views
Seven Months After Suing, a DC Chief Departs
It looks like the exec's lawsuit is coming to an end, too...
401kWire.com - Monday, November 19, 2018 - Reader Rating: 2.75
Spark Tackles Open MEPs and BlockChain
The RKer trade group takes on new research projects...
401kWire.com - Monday, November 19, 2018
Abby Picks Charlie's Successor
The Fidelity scion chooses a 22-year company veteran to take over the asset management division...
MutualFundWire.com - Monday, November 19, 2018 Views - Reader Rating: 3
Once Upon a Time ...
An industry marketing guru urges KPAs to move beyond their value propositions, by telling stories...
401kWire.com - Thursday, November 19, 2015 - Reader Rating: 1
Will Israeli Asset Managers Team Up With This ETF Startup In NYC?
For its second ETF, this shop is teaming up with a subsidiary of ETF Managers Group...
MutualFundWire.com - Thursday, November 19, 2015 Views
Which RKer Will Wear This $1.3 Billion Plan?
The parent of this clothing chain has found a recordkeeper that fits.....
401kWire.com - Thursday, November 19, 2015 - Reader Rating: 5
Cap Group Teams Up With a TAMP
The giant mutual fund shop from the City of Angels is the inspiration behind, and a key ally of, a new series of portfolios. It all comes back to what Cap Group sees as two key drivers of outperformance: low fees, and PMs who eat their own cooking...
MutualFundWire.com - Thursday, November 19, 2015 Views
This RKer Team Has Hired a Virtual Coach
Principal Financial is here to coach the retirement industry...
401kWire.com - Thursday, November 19, 2015 - Reader Rating: 3
$217MM Taft-Hartley Plan Switches RKers
Now playing the role of recordkeeper, it's.....
401kWire.com - Thursday, November 19, 2015 - Reader Rating: 5
Fidelity Promotes Financial Wellness
The Boston Behemoth's latest initiative is to help plan sponsors and KPAs create financial wellness programs...
401kWire.com - Thursday, November 19, 2015 - Reader Rating: 4.5
An ERISA Law Veteran Passes Away
A lawyer at Wagner dies at 92.....
401kWire.com - Thursday, November 19, 2015 - Reader Rating: 5
An OH KPA Hires Deeper Into the Midwest
The IFG affiliate expands in the Milwaukee-Chicago area...
401kWire.com - Thursday, November 19, 2015 - Reader Rating: 2
This Multinational Asset Manager Does Not Want to Be Sold
The chief of the European parent of a U.S. mutual fund biz keeps fighting rumors of a sale...
MutualFundWire.com - Thursday, November 19, 2015 Views
An Allianz Alum Joins CUNA Mutual
The Kansas-based Rker welcomes a western divisional VP...
401kWire.com - Wednesday, November 19, 2014
68 Percent of Millennials Admit They Aren't Saving Enough For Retirement
...according to Columbus, Ohio-based Nationwide Retirement Institute...
401kWire.com - Wednesday, November 19, 2014
Chris Davis Is Retiring From MMI
After 17 years, the trade group's founding president is saying goodbye. The search is on for his successor...
MutualFundWire.com - Wednesday, November 19, 2014 Views
A T. Rowe Bigwig Recovers From a Bike Accident
He missed today's press event, but he's working remotely...
MutualFundWire.com - Wednesday, November 19, 2014 Views
A KPA Duo Aligns With Blue Prairie Group
...An ERISA-focused RIA recently affiliated with an institutional consulting firm in Chitown...
401kWire.com - Wednesday, November 19, 2014
This Beantown Fund Firm Settled a Sexual Harassment Suit About Its CEO
The Boston Globe a harassment and discrimination fight, settled almost four years ago, to light...
MutualFundWire.com - Wednesday, November 19, 2014 Views - Reader Rating: 4
After $13B Settlement, Dimon Still Has Headaches
What else does JP Morgan's CEO have to worry about?..
MutualFundWire.com - Tuesday, November 19, 2013 Views
Conway Queries: Are Backtests Bogus?
Barron's columnist writes that math ain't enough...
MutualFundWire.com - Tuesday, November 19, 2013 Views
Capital Group Brings On Two DC Specialists
The investment management firm has expanded its DC team. ..
401kWire.com - Tuesday, November 19, 2013 - Reader Rating: 2
An Industry Pub Appoints Two Honchos
InvestmentNews names a new associate publisher and director of custom content and programming...
MutualFundWire.com - Tuesday, November 19, 2013 Views
Fink Has a Lot to Say About the Markets
The BlackRock CEO talked to Bloomberg television on a variety of subjects tied to regulation and the markets...
MutualFundWire.com - Tuesday, November 19, 2013 Views
MSCI Flirtation Spurs Barclays Index Sale Talks
Reuters reports that MSCI recently approached the British bank with the idea...
MutualFundWire.com - Tuesday, November 19, 2013 Views
A $6B Shop Merges to Broaden Public Sector Reach
The 10-fund Ohio-based firm joins forces with a public sector specialist...
MutualFundWire.com - Tuesday, November 19, 2013 Views
Hartford's Reiss Hires in the West
He lures a salesperson from Fido to reach out to non-wire house advisors...
MutualFundWire.com - Tuesday, November 19, 2013 Views
American Century Offers a 401k Plan Exam
Plan Health ProSM measures a retirement plan's health, retirement readiness and due diligence...
401kWire.com - Tuesday, November 19, 2013 - Reader Rating: 2
Healthcare Expenses Take Down Retirement Savings
In its annual Workplace Survey, Mercer looks at participant attitudes toward employer-sponsored benefits. ..
401kWire.com - Tuesday, November 19, 2013
A New ETF Shop Sees Reality
Firm aims to add a new twist to fundamental investing...
MutualFundWire.com - Tuesday, November 19, 2013 Views
Rekenthaler Talks Lunch, Coffee and 401k Fees
Morningstar's John Rekenthaler analyzes a study scrutinizing the "hidden and excessive" costs of 401ks. ..
401kWire.com - Tuesday, November 19, 2013
Meet 401k's Small-Cap Stars
...Courtesy of BrightScope..
401kWire.com - Tuesday, November 19, 2013
Barron's Panel Talks ETFs
Four bigwigs discuss what's new in market demand for ETFs...
MutualFundWire.com - Tuesday, November 19, 2013 Views
FactorShares Is Shuttering Five ETFs
All five are spread products...
MutualFundWire.com - Tuesday, November 19, 2013 Views
Rekenthaler Proclaims the Oddest ETF
One product even beats out that Bitcoin thingy...
MutualFundWire.com - Tuesday, November 19, 2013 Views
Aberdeen Wants a Bigger Piece of American Pie
Fresh from SWIP acquisition, Aberdeen's CEO wants to go toe to toe with the Yanks...
MutualFundWire.com - Tuesday, November 19, 2013 Views
A Zombie ERISA Suit Stalks SunTrust
The bank is being sued, again, for offering its own mutual funds through its 401(k). ..
401kWire.com - Monday, November 19, 2012 - Reader Rating: 2
McInerney Focuses BMO on Consultants and Stays Open to Deals
"We're opportunistic," CEO says on company's strategy...
MutualFundWire.com - Monday, November 19, 2012 Views
Nationwide Adopts Two UBS Funds
The mutual funds focus on high yield debt and global equities...
MutualFundWire.com - Monday, November 19, 2012 Views
Fink Creates and Fills an Addition to BlackRock's C-Suite
The newly-formed job focus on communicating investment strategy to markets...
MutualFundWire.com - Monday, November 19, 2012 Views
A Merger Costs Fidelity a $142MM Client
Following two banks' merger, Fidelity is down a client...
401kWire.com - Monday, November 19, 2012 - Reader Rating: 3
$5.1 Trillion in 5 Years?
A consulting shop thinks DC plans could grow to $5.1 trillion by 2017...
401kWire.com - Monday, November 19, 2012
A Northeastern Fund Servicer Hires a Business Development Exec
Recruit will handle mutual and hedge fund offerings...
MutualFundWire.com - Monday, November 19, 2012 Views
Guardian Adds Options
Two platforms add new investment options...
401kWire.com - Monday, November 19, 2012
Manning Adds an Independent Director
Insurance exec increased board to six...
MutualFundWire.com - Monday, November 19, 2012 Views
DC I-O Will Just Keep on Growing
Pay attention to this study if you're involved in the DC game...
MutualFundWire.com - Monday, November 19, 2012 Views
How Will Obamacare Impact Healthcare Funds?
The WSJ considers the question. ..
MutualFundWire.com - Monday, November 19, 2012 Views
T. Rowe, Fido and Vanguard Offer Funds for the Nervous
An expert finds 33 funds which pass the test: "Which funds are never terrible?"..
MutualFundWire.com - Monday, November 19, 2012 Views
The Journal Shares What Fund Execs Won't
A top ten list of what fund companies won't say...
MutualFundWire.com - Monday, November 19, 2012 Views
An Insider Bets $94 Million on BlackRock
A BlackRock director now owns $130 million worth of the firm's stock...
MutualFundWire.com - Monday, November 19, 2012 Views
The WSJ Still Backs Money Fund Reform
The rules supporting floating NAV makes sense, an editorial says...
MutualFundWire.com - Monday, November 19, 2012 Views
Lazard Folds Another Biz Into Asset Management
The move is part of cost-cutting initiative...
MutualFundWire.com - Monday, November 19, 2012 Views
SEC Confirms Buzz About Buddy's Interim Replacement
The SEC taps an acting director of the investment management division...
MutualFundWire.com - Friday, November 19, 2010 Views
A Financial Planning Giant Enters 401k
A Virginia-based firm launches its own retirement plan offering...
401kWire.com - Friday, November 19, 2010 - Reader Rating: 1.5
Transamerica Creates New Gig for an OppenheimerFunds Vet
An OppenheimerFunds vet resurfaces at Transamerica. ..
401kWire.com - Friday, November 19, 2010 - Reader Rating: 3
An Actuarial Firm Generates a New Offering
An Indiana-based firm unveils a new advisor-sold retirement product...
401kWire.com - Friday, November 19, 2010 - Reader Rating: 4.67
Schwab Seeks Help in the Southwest
The Bay Area brokerage has a couple of open positions to be filled in the South for its retirement plan unit. ..
401kWire.com - Friday, November 19, 2010
Acquisition Expands Westwood's Mutual Fund Roster
The Dallas-based firm now offers six mutual funds...
MutualFundWire.com - Friday, November 19, 2010 Views
McQuaid Plans to Take a Breather
The lead PM of the $16.7 billion Columbia Acorn Fund is going on a three-month sabbatical next year...
MutualFundWire.com - Friday, November 19, 2010 Views
A Morgan Stanley Team Bids Invesco Farewell
David Lai debuts Affinity Investment Advisors 2.0..
MutualFundWire.com - Friday, November 19, 2010 Views - Reader Rating: 4
Fundsters Voice their Views on the SEC's Proposal
The WSJ finds itself in the middle of a war of words over 12b-1 fees. ..
MutualFundWire.com - Friday, November 19, 2010 Views
Schwab's YieldPlus Settlement is On Again
Under the new proposal, shareholders could only pursue outside claims individually if they opt out of the settlement...
MutualFundWire.com - Friday, November 19, 2010 Views
An ETF Player Receives a Minority Investment from Rocaton
Financial terms of the transaction were not made public...
MutualFundWire.com - Friday, November 19, 2010 Views
LPL Has the Last Laugh, Says the WSJ
The WSJ looks at the two IPOs yesterday, GM and LPL...
MutualFundWire.com - Friday, November 19, 2010 Views - Reader Rating: 2
ING Fills a Northeast Sales Post
ING names the new leader of the northeast region for the intermediary corporate markets unit, which recently passed the $2 billion mark in sales this year...
401kWire.com - Thursday, November 19, 2009 - Reader Rating: 3
DTCC Rings in a Decade
The Manhattan-based clearing house marks its 10th birthday on Thursday with a trip to the NYSE...
MutualFundWire.com - Thursday, November 19, 2009 Views
A DC Provider Nears a Product Launch
Insiders should be on the lookout, as a provider prepares a new retirement plan offering...
401kWire.com - Thursday, November 19, 2009 - Reader Rating: 2.82
ICMA-RC Says 'It Pays to Save'
Washington DC 457 specialist ICMA-RC imparts some knowledge on governmental plan sponsors..
401kWire.com - Thursday, November 19, 2009
Fidelity Helps Almost 170 Brokers Go Independent
The Boston Behemoth also unveils a tool to help wirehouse brokers weigh the costs and benefits of striking out on their own...
MutualFundWire.com - Thursday, November 19, 2009 Views
Regions Banks on a Rebooted 401k Match
A southern bank has reinstated its 401k matching program...
401kWire.com - Thursday, November 19, 2009 - Reader Rating: 3
Lord Abbett Twitters Away
The 80-year-old money manager creates a Twitter account and unveils a new Web site geared toward advisors...
MutualFundWire.com - Thursday, November 19, 2009 Views - Reader Rating: 5
Borzi Officially Returns the Advice Rule to the Drawing Board
Updated | Shortly after postponing the effective date for participant-level fiduciary advice regs yet again, the DoL pulls the regs completely and vows to start over...
401kWire.com - Thursday, November 19, 2009 - Reader Rating: 4
Putnam Continues its Hiring Spree
The Beantown-based fund company has three new faces in its DC team...
401kWire.com - Thursday, November 19, 2009 - Reader Rating: 3.14
BofA Holds on to Columbia's Money Funds
BofA has decided not to sell the cash management business of its asset manager...
MutualFundWire.com - Thursday, November 19, 2009 Views - Reader Rating: 1
Great-West Taps an Insider for a Sales Role
The plan provider appoints a wholesaler for Arkansas and Oklahoma...
401kWire.com - Thursday, November 19, 2009
Average 401k Balance is Up Nearly 13 Percent in Q3, Says Fidelity
The Boston Behemoth unveils findings from its third quarter 401k trends report...
401kWire.com - Thursday, November 19, 2009
New York Life Adds a Trio of DC I-O Hires
Jeff Keller brings on board three wholesalers as part of a push to raise DC I-O assets...
401kWire.com - Thursday, November 19, 2009 - Reader Rating: 2
Who Made it to Morningstar's Manager of the Decade Shortlist?
The Chicago firm reveals the nominees in three categories...
MutualFundWire.com - Thursday, November 19, 2009 Views - Reader Rating: 5
TD Might Buy E*Trade, Under the 'Right Terms'
The CEO of one online brokerage addresses merger rumors...
MutualFundWire.com - Thursday, November 19, 2009 Views - Reader Rating: 1
Pimco's Newest Hat Sparks Conflict-of-Interest Worries
Pimco's NAIC mandate has some worrying about potential conflicts of interest...
MutualFundWire.com - Thursday, November 19, 2009 Views
Weekly Long-Term Fund Flows Almost Triple
Inflows for non-money market mutual funds rose to $8.42 billion with hybrid and bond funds posting higher inflows and equity funds seeing smaller outflows...
MutualFundWire.com - Thursday, November 19, 2009 Views
Bettinger Says Job Cuts at Schwab Might be an Option
Walt Bettinger says cuts could come at Schwab if the environment becomes "meaningfully worse."..
401kWire.com - Wednesday, November 19, 2008 - Reader Rating: 5
Two DC Vets Join an I-O Manager
An asset manager expands its institutional sales team...
401kWire.com - Wednesday, November 19, 2008 - Reader Rating: 1
Some Teachers at an NY School District Frown Upon the Proposed Shift to One Vendor
The teachers' association is not happy with a proposal, up for a vote by the school board next week, to have just one 403b vendor...
401kWire.com - Wednesday, November 19, 2008
SEC Greenlights Prospectus Proposal
The commission on Wednesday voted unanimously to require fund firms to provide summary prospectuses in a clear, concise manner...
MutualFundWire.com - Wednesday, November 19, 2008 Views
An I-O Player Gains Ties to MassMutual
The investment manager, which began focusing on the DC space two years ago, now has relationships with 21 recordkeepers...
401kWire.com - Wednesday, November 19, 2008 - Reader Rating: 1.67
The Reserve Hires a Liquidator
The beleaguered money fund specialists bring a fixed income vet to help them distribute assets from two shuttered funds...
MutualFundWire.com - Wednesday, November 19, 2008 Views
Federal Indictment Shackles Vanguard with Cheney
A Texas grand jury drags the fund giant into the limelight thanks to the outgoing vice president of the United States...
MutualFundWire.com - Wednesday, November 19, 2008 Views
Principal Lines Up for TARP Funds
The Des Moines, Iowa-based firm applies to receive as much as $2 billion under the Treasury program...
401kWire.com - Wednesday, November 19, 2008 - Reader Rating: 5
SEC to Vote on Summary Prospectus Proposal
The commission will vote on a proposal that would require fund firms to provide investors with a summary prospectus...
MutualFundWire.com - Wednesday, November 19, 2008 Views
WSJ Spotlights Barclay's Bet on Target-Date ETFs
The San Francisco asset manager's foray into target-date ETFs gains coverage in Wednesday's WSJ Fund Track. ..
MutualFundWire.com - Wednesday, November 19, 2008 Views
Principal: Auto Use Tripled in '06
The number of Principal's plan sponsor clients offering at least one auto feature nearly tripled in 2006...
401kWire.com - Monday, November 19, 2007
Insurer Clams Up On GICs
A guaranteed investment contract provider has decided to stop releasing rate quotes. ..
401kWire.com - Monday, November 19, 2007 - Reader Rating: 1
BlackRock Appoints New Head of DC-IO Biz
The New York City-based money management giant has tapped a replacement for Doug DuMond, who left the company a few months ago...
401kWire.com - Monday, November 19, 2007
SunStar Guru Teaches Press Conferences 101
What does a fund company get out of holding a press event?..
MutualFundWire.com - Monday, November 19, 2007 Views - Reader Rating: 4
Company Stock Comes to Haunt REIT Firm
A Show Me State sponsor is the latest hit in the company stock 401k suits. ..
401kWire.com - Monday, November 19, 2007
PNC Unloads Hillard Lyons
PNC Financial Services Group has sold its full service brokerage subsidiary, J.J.B. Hilliard, W.L. Lyons to Bowling Green, Ky.-based Houchens Industries, Inc...
MutualFundWire.com - Monday, November 19, 2007 - Reader Rating: 3.29
Pershing Advisor Solutions Outlines the Advisor of the Future
Pershing Advisor Solutions has released a new study entitled Fast Forward: The Advisor of the Future, which builds on ideas put fourth in a previous study entitled, Uncharted Waters: Navigating the Forces Shaping the Advisory Industry..
MutualFundWire.com - Monday, November 19, 2007 - Reader Rating: 3.12
Bowne Unifies Operations Under New President
Bowne & Co. is unifying its financial communications and marketing & business communications operations in order to better service clients...
MutualFundWire.com - Monday, November 19, 2007 Views
SimCorp Makes FinTech 100 List for the Second Year
SimCorp has been recognized by the fourth annual FinTech 100 rankings...
MutualFundWire.com - Monday, November 19, 2007 Views - Reader Rating: 5
Morgan Stanley to Add 900 to Maryland Operation
Morgan Stanley plans to add about 900 jobs to its Baltimore office in the next decade...
MutualFundWire.com - Monday, November 19, 2007 - Reader Rating: 2.93
CapTrust Expands Brain Trust and Builds New Digs
The Tar Heel State group of retirement plan specialists brings in two industry players for its advisory board while breaking ground on a new HQ. And more growth is right around the corner. ..
401kWire.com - Monday, November 19, 2007 - Reader Rating: 5
Consumers Ignore Money Market Warnings
Even amid concerns about their exposure to risky investments, consumers continued to pour their dollars into money market funds this month...
MutualFundWire.com - Monday, November 19, 2007 Views
Ex-California Advisor Ordered to Prison After Million Dollar Fraud Scheme
A former investment advisor based in Danville, CA, has been sentenced to prison after stealing millions of dollars from investors...
MutualFundWire.com - Monday, November 19, 2007 - Reader Rating: 3
Raymond James Gets a Seal of Approval from Dalbar
Raymond James' new enhanced client statement has garnered the support of financial services consultant, Dalbar, which recently ranked it third-best among a field of 23 firms...
MutualFundWire.com - Monday, November 19, 2007 - Reader Rating: 3.2
Lord Abbett Notches 10K Milestone
Officials at the Garden State-based investment manager said their funds are now in more than 10,000 401k plans...
401kWire.com - Monday, November 19, 2007
Market Rewards Islamic Fund for Avoidance of Financial Institutions
This year the market has been good to a mutual fund that invests based on the principles of Islamic law...
MutualFundWire.com - Monday, November 19, 2007 Views
FINRA Takes Aim at Variable Annuity Sales
A new FINRA rule may deter the sale of inappropriate deferred variable annuities...
MutualFundWire.com - Monday, November 19, 2007 Views
PowerShares Plans Three ETF of ETFs
The Wheaton, Illinois-based firm plans to launch three ETFs that will hold other PowerShares ETFs...
MutualFundWire.com - Monday, November 19, 2007 Views
Remaining Fund Reforms May Stall Until 2005
Although investors late trading and market timing were behind the majority of the fund scandal cases, it looks like the SECís two proposed regulations to stop those abuses will not be passed in their current forms, if at all, says James Delaplane, partner at Washington, D.C.-based law firm Davis & Harman and Beltway insider...
MutualFundWire.com - Friday, November 19, 2004 Views
Fidelity Adds Advisor Tools
Fidelity Investments is bulking up its advisor offering. Clients of the newly launched Fidelity Advisor Retirement Income Services unit now have access to additional materials to help investors plan for retirement. Fidelity is making online tools available for advisors to hold and conduct seminars, such as an investor presentation, invitation and follow-up templates, and other marketing materials. Advisors will also have access to a new workbook that was designed to help advisors walk their clients through a four-step process to create a customized retirement plan...
MutualFundWire.com - Friday, November 19, 2004 Views
Bush Likely to Bet Capital on Social Security Shakeup
How much political capital will Bush spend on Social Security reform?..
401kWire.com - Friday, November 19, 2004
EBSA Wins Judgement Against Tenn. Sponsor
The judgement appoints a new administrator for the $750,000 plan and calls for $30,000 in restoration...
401kWire.com - Friday, November 19, 2004
ExpertPlan Offers Solo Plan with a new Unique Flavor
The plan administrator and recordkeeper has a new product for one person companies. But it may not be what you expect...
401kWire.com - Friday, November 19, 2004 - Reader Rating: 4.67
One Million Get Online Advice on Paper
You may not think a company based in Silicon Valley and headed by a Stanford MBA as stuck in the Stone Age...
401kWire.com - Friday, November 19, 2004
Son of EGTRRA Conceived
A Beltway insider gives his predictions on stalled retirement legislation and a possible due date for new legislation...
401kWire.com - Friday, November 19, 2004 - Reader Rating: 4
Is Fido Booking Passage to Korea?
Fidelity Investments has filed with South Korean regulators to set up an affiliate in the country, reports the Korea Herald. Fidelity filed to set up an affiliate worth approximately $9.27 million. If Korea's Financial Supervisory Commission approves the request and issues a permit, Fidelity could start operating in the country in 2005, according to the Herald...
MutualFundWire.com - Friday, November 19, 2004 Views
Putnam Chairman Resigns from MMC Board
A.J.C. Smith, chairman of Putnam Investments, has resigned from the board of directors of Marsh & McLennan. MMC also announced that four other members of its board would step down, including Peter Coster, president of Mercer; Charles Davis, vice chairman of the board and chairman and chief executive officer of MMC Capital; and Ray Groves, senior advisor of Marsh...
MutualFundWire.com - Friday, November 19, 2004 Views
Comey Probes Bear Stearns
The Feds are looking into whether hedge funds used Bear Stearns as a conduit for improper fund trades...
MutualFundWire.com - Wednesday, November 19, 2003 Views
Report Alleges Van Eck Helped Canary
A published report alleges that Van Eck struck a deal with Canary...
MutualFundWire.com - Wednesday, November 19, 2003
Oregon Fires Putnam
This time Putnam loses a $500 million mandate after a consultant places it on its review list...
MutualFundWire.com - Wednesday, November 19, 2003
SEC Looking at Funds on Morgan Stanley Select List
The brokerage firm has identified the sixteen funds on its Partners Program list. The SEC is taking a look at whether those funds have liabilities for their participation...
MutualFundWire.com - Wednesday, November 19, 2003 - Reader Rating: 5
Great-West Picks Up 649 Plans in Deal
Great-West Retirement Services has taken over 649 retirement plans from another insurer exiting the industry...
401kWire.com - Wednesday, November 19, 2003 - Reader Rating: 4
House Passes Baker Bill in Landslide
The 418-2 vote leaves little doubt about which way the wind blows. Not that there was any...
MutualFundWire.com - Wednesday, November 19, 2003 - Reader Rating: 5
New Jersey Sponsor Drops Putnam Funds
A drugmaker joins the list of plan sponsors eliminating Putnam from its 401k sponsor...
401kWire.com - Wednesday, November 19, 2003
Bisys Goes to Market
The firm ups its stock buyback limit...
401kWire.com - Wednesday, November 19, 2003 - Reader Rating: 3.33
Nevada dumps Strong
Nevada College Savings program terminates its relationship while Wisconsin rethinks its relationship with the firm...
MutualFundWire.com - Wednesday, November 19, 2003
Two More Firms Subpeonaed
The Massachusetts and New Hampshire probe widens...
MutualFundWire.com - Wednesday, November 19, 2003 Views
Bisys Launches New Plan Tool
Perks for TPAs, Financial Advisors and Plansponsors...
401kWire.com - Wednesday, November 19, 2003 - Reader Rating: 5
Undiscovered Managers Taps Deeper Pockets
The advisor-focused firm has found a buyer with what it hopes are the resources it needs to build its business...
MutualFundWire.com - Wednesday, November 19, 2003 Views
Delaware VP Leaves
The company will not say why he left, but he could have had good reasons...
401kWire.com - Wednesday, November 19, 2003 - Reader Rating: 2
Congress Promises Action on Reforms
The calendar leaves little time for sausage making though. Look for quicker action from the SEC...
MutualFundWire.com - Wednesday, November 19, 2003 Views - Reader Rating: 4
SEC Sets D-Day for Consideration of Late Trading
The commissioners will take up how to curb late trading in early December...
401kWire.com - Wednesday, November 19, 2003 - Reader Rating: 4.33
Fund Firms May Have a Role Model at MFS
The oldest fund firm is quietly taking steps to stay ahead of the fund scandals...
MutualFundWire.com - Wednesday, November 19, 2003 Views - Reader Rating: 4
Going Inside a 529 Program
The fund scandals prompt USA Today to go digging in Wisconsin. What it found will not surprise you...
MutualFundWire.com - Wednesday, November 19, 2003 Views
Another Strong Exec Tied To Scandal
The 401k head at the firm has come under fire...
MutualFundWire.com - Wednesday, November 19, 2003
TPA Readies Rebalancing Tool
A Northern California-based firm is putting together a tool to let participants rebalance their accounts the easy way...
401kWire.com - Tuesday, November 19, 2002 - Reader Rating: 3.25
SunGard Executive Passes Away
A senior vice president and former marketer for SunGard Corbel died suddenly last weekend...
401kWire.com - Tuesday, November 19, 2002 - Reader Rating: 3
Union Taps MassMutual as Bundled Provider
The ability of the insurer to handle union plan features cinched the deal...
401kWire.com - Tuesday, November 19, 2002 - Reader Rating: 3
dailyVest Launches Asset Allocator Development Tool
The Arizona-based firm is adding to the investment allocation tool set it offers to financial services firms...
401kWire.com - Tuesday, November 19, 2002 - Reader Rating: 4.33
GE Unit Linking with B-Ds
The private asset management arm of GE said it would have more deals done by the first quarter of 2003...
MutualFundWire.com - Tuesday, November 19, 2002 Views - Reader Rating: 2
Minneapolis B/D to Grow SMA Platform
The bank unit is moving to a new platform as part of a plan to add 15 new managers...
MutualFundWire.com - Tuesday, November 19, 2002 Views
Fund Manager Sentenced
The proprietor of a Florida index fund gets five years...
MutualFundWire.com - Tuesday, November 19, 2002 Views - Reader Rating: 2
A Billion Dollar Loss in Company Stock
Enron locked down its plan to participant reallocations for four weeks as the value of its stock evaporated. ..
401kWire.com - Monday, November 19, 2001 - Reader Rating: 3
Dreyfus at Citizens
Citizens Bank will offer Dreyfus mutual funds to its customers...
MutualFundWire.com - Monday, November 19, 2001 Views - Reader Rating: 3
Great-West Signs On
The insurer is the latest to distribute its product through the 401k search site. ..
401kWire.com - Monday, November 19, 2001 - Reader Rating: 3
It is Confirmed; Participants Shrugged Off Bad Stock Market
The latest numbers from EBRI reveal that participants did not change allocations as the market tumbled in 2000. ..
401kWire.com - Monday, November 19, 2001 - Reader Rating: 3
Guardian Web Gets Nip and Tuck
The bundled vendor takes the veil off after a facelift for its Web. ..
401kWire.com - Monday, November 19, 2001 - Reader Rating: 3
Montgomery Cruises Online
The San Francisco firm has a new web offering to coincide with an effort to market funds through a new channel...
MutualFundWire.com - Monday, November 19, 2001 - Reader Rating: 3
Coming and Going?
A day after swapping vendors, Conoco is being acquired by Phillips Petroleum. So what will happen with the retirement programs? No one knows yet, but things always look brighter for the vendor serving the acquiror...
401kWire.com - Monday, November 19, 2001
Online Push for Wechsler Ross
The marketing firm is now doing onto itself what it has done on to others with a new redesign for its website...
MutualFundWire.com - Monday, November 19, 2001 - Reader Rating: 3
Al Gore Now in Financial Services
Former VP at Metropolitan ... CFSB Brokers Face Smaller Commissions ... Coming and Going?..
401kWire.com - Monday, November 19, 2001 - Reader Rating: 3
Al Gore Now in Financial Services
Former VP at Metropolitan ... CFSB Brokers Face Smaller Commissions ... Coming and Going?..
MutualFundWire.com - Monday, November 19, 2001 - Reader Rating: 3
Five Feeling Strong
Five sponsors have tapped Strong Retirement Plan Services for defined contribution services...
401kWire.com - Monday, November 19, 2001 - Reader Rating: 3
Trust Info Made Easy
Business Logic is introducing a new system for financial services institutions to better keep track of clients' assets...
MutualFundWire.com - Friday, November 19, 1999 - Reader Rating: 3
Investor Group Serves Up Beans For Frank's Fund
The Al Frank Fund and Frank's newsletter, The Prudent Speculator have been sold to a Minneapolis investor group...
MutualFundWire.com - Friday, November 19, 1999 - Reader Rating: 3
Week of November 19, 1999
RFP Roundup

The Weekly Roundup is a regular column examining the RFPs that appeared on our pages and the pages of other publications this week. ..
401kWire.com - Friday, November 19, 1999 - Reader Rating: 3
The Limited Tries on New Provider
Columbus, Ohio-based The Limited, Inc. has tapped American Express Retirement Services for bundled services for its 401(k) plan. The plan has $430 million in assets and, according to The Money Market Directory, 1999, 35,000 participants...
401kWire.com - Friday, November 19, 1999 - Reader Rating: 3
Fidelity Updates Advisor Services
Fidelity has launched a new program to help intermediaries with step-by-step business building tools...
MutualFundWire.com - Friday, November 19, 1999 - Reader Rating: 3
New Financial Engines Alliance
Financial Engines has added another feather to its cap. Today it announced that Alliance Benefit Group formed a strategic alliance with the employee benefits organization to offer advice to the sponsors it provided recordkeeping for...
401kWire.com - Friday, November 19, 1999 - Reader Rating: 3
Participants to Pay For
Financial Engines cuts a deal with Alliance Benefit...
401kWire.com - Friday, November 19, 1999 - Reader Rating: 3
Odd Lots, November 19, 1999
The double the money club ... Active managers strike gold ... Activist blast Hancock again...
MutualFundWire.com - Friday, November 19, 1999 Views - Reader Rating: 3
Stable Value Alert for November 11
Despite all of the talk of rising interest rates, GIC rates fell this week. The average quote dropped 3 basis points while Treasury rates fell 2 bps.

Weekly Bullet GIC/BIC Statistics from FCM

Rates as of November 12, 1999*

Compound Rates 3 Year 5 Year 7 Year 10 Year
High 7.09 7.27 7.30 7.44
Average 6.72 6.94 7.04 7.21
Low 6.39 6.59 6.65 7.06
Treasuries 5.83 5.90 5.93 5.97
Spread 1.26 1.37 1.37 1.47
Issuers 19 19 16 8
Simple Rates 3 Year 5 Year 7 Year 10 Year
High 7.07 7.22 7.30 7.37
Average 6.71 6.89 7.04 7.10
Low 6.12 6.30 6.65 6.53
Treasuries 5.83 5.90 5.93 5.97
Spread 1.24 1.32 1.37 1.40
Issuers 21 21 16 9

*All rates are for non-benefit responsive, investment-only contracts with a value of $5 million. Rates are net of all expenses, with no commissions payable. Treasury quotes are for close of business Wednesday.

Source: Fiduciary Capital Management

..

401kWire.com - Friday, November 19, 1999 - Reader Rating: 3
Strong Intros New Educational Service
Menomonee Falls, Wisconsin-headquartered Strong Retirement Plan Services is introducing its Strong Choices(SM). The service is designed to help participants who are leaving their current employer (whether due to lay-offs, retirements, or job change) and may need assistance in rolling-over their 401(k) assets...
401kWire.com - Thursday, November 19, 1998 - Reader Rating: 3
Money to Restructure Its 401k Publications
Time, Inc. is restructuring its division that publishes editorial content for the 401(k) plan market. The 401kWire.com has learned that both "My Money", and "Managing Your Future" are going to be moved from under Money Magazine to Time, Inc.'s Custom Publishing division...
401kWire.com - Thursday, November 19, 1998 - Reader Rating: 3
Walker Interactive Taps New Provider
San Francisco, California-based Walker Interactive Systems (Nasdaq: WALK)has chosen New York Life Benefit Services, Inc. to be the bundled provider for the companyís 401(k) plan. The plan has 390 participants and $25 million in assets...
401kWire.com - Thursday, November 19, 1998 - Reader Rating: 3
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