401(k) Specialist Issue 1 - 2015 - 6
EDITOR'S LETTER
How Not to Get Sued?
APOLOGIES FOR THE AWKWARD PHRASING, but answering that blunt question
is the reason for our existence.
The size and scope of the baby boomer retirement wave is old news; regulation
is an ongoing and evergreen thorn in the side of RIAs and retirement plan
advisors. So what's new?
Litigation.
Tibble v. Edison, Lockheed Martin, R.J. Reynolds ...it's only the beginning.
Tort lawyers have retirement, of all things, squarely in their sights-and that
means 401(k) plan sponsors, trustees and advisors. Solid policies and procedures
lead to compliance that keeps you and your firm out of trouble and the
focus on where it should-plan sponsors and participants. Consider it the base
of the industry's Maslow's Hierarchy of Needs on which all else rests.
" You can't be a little in or a little out, " the proprietor of a top RIA firm recently
told me. " You need to have a dedicated retirement plan advisor at your firm if
you're planning to handle that business. "
" Handling that business " is really the rub, because he immediately went on
to say how good a business it is, and the opportunity is only getting better.
Confusion over litigation combined with an incredible, almost unending,
opportunity for those who figure it out-that's why we're here.
Consider:
The Investment Company Institute finds that 401(k) accounts contain nearly
$4.6 trillion in assets, doubling in size over the past 10 years and making it the
premier savings vehicle for most Americans.
Additionally, Cerulli Associates reports that rollovers from 401(k)s to individ
per year
The new 401(k) Specialist magazine, website and e-newsletters specifically
focus on addressing the increasingly complex, yet rewarding, 401(k) marketplace
through comprehensive news, tools and research.
Whether the topic is fiduciary, rollovers, client acquisition, practice management,
investments or a host of other issues that arise on an almost daily basis,
401(k) Specialist is the definitive source for retirement plan advisors, regardless
of age, experience or asset size.
I encourage you to sign up for your copy of 401(k) Specialist magazine and
e-newsletter, which are free for qualified retirement plan advisors. And as
always, I look forward to hearing from you with questions, ideas and concerns
at jsullivan@401kspecialistmag.com.
John Sullivan
Editor-in-Chief, 401(k) Specialist
6 INAUGURAL 2015 | 401kSpecialistmag.com
http://www.401kSpecialistmag.com
401(k) Specialist Issue 1 - 2015
Table of Contents for the Digital Edition of 401(k) Specialist Issue 1 - 2015
Table of Contents
401(k) Specialist Issue 1 - 2015 - Cover1
401(k) Specialist Issue 1 - 2015 - Table of Contents
401(k) Specialist Issue 1 - 2015 - 1
401(k) Specialist Issue 1 - 2015 - 2
401(k) Specialist Issue 1 - 2015 - 3
401(k) Specialist Issue 1 - 2015 - 4
401(k) Specialist Issue 1 - 2015 - 5
401(k) Specialist Issue 1 - 2015 - 6
401(k) Specialist Issue 1 - 2015 - 7
401(k) Specialist Issue 1 - 2015 - 8
401(k) Specialist Issue 1 - 2015 - 9
401(k) Specialist Issue 1 - 2015 - 10
401(k) Specialist Issue 1 - 2015 - 11
401(k) Specialist Issue 1 - 2015 - 12
401(k) Specialist Issue 1 - 2015 - 13
401(k) Specialist Issue 1 - 2015 - 14
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401(k) Specialist Issue 1 - 2015 - 40
401(k) Specialist Issue 1 - 2015 - 41
401(k) Specialist Issue 1 - 2015 - 42
401(k) Specialist Issue 1 - 2015 - 43
401(k) Specialist Issue 1 - 2015 - 44
401(k) Specialist Issue 1 - 2015 - Cover3
401(k) Specialist Issue 1 - 2015 - Cover4
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