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Defined Benefit Consultant/Enrolled Actuary Pension Plan Specialists, PC
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Retirement Planners and Administrators (RPA)
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Pollard & Associates
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TPA Retirement Plan Consultant EPIC RPS (TPA/DPS)
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New York City District Council of Carpenters Benefit Funds
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Defined Contributions Compliance Consultant Loren D. Stark Company (LDSCO)
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Fringe Benefit Group
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Senior Specialist 401k Recordkeeping T Bank N.A.
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Retirement Solutions Specialists
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Defined Contribution Account Manager Nova 401(k) Associates
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Greenline Wealth Management
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Defined Benefit Combo Cash Balance Compliance Consultant Loren D. Stark Company (LDSCO)
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Great Lakes Pension Associates, Inc.
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73 Matching News Items |
| 1. |
Defined Contribution Investment Perspectives: Why Investment Re-Enrollment Matters (PDF)
Capital Group, for Defined Contribution Institutional Investment Association [DCIIA] 
June 18, 2015
"[P]lan sponsors should consider an investment re-enrollment, an action that requires little effort from participants and can improve their long-term prospects.... [The authors] provide four case studies that demonstrate how plan sponsors have success fully re-enrolled participants to help improve their investment allocations."
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| 2. |
Alternative Investments in Defined Contribution Plans (PDF)
Defined Contribution Institutional Investment Association [DCIIA]
Feb. 10, 2022
43 presentation slides. "The types of alternative investments discussed are: Private Real Estate, Hedge Funds and Private Equity.... This presentation also details current thinking as to the Benefits, Considerations and Challenges of offering alternative investments in DC plans. Potential next steps are provided for fiduciaries considering implementing alternatives in their plan. The summary assessment includes a look at current usage as well as possible future usage of alternative investments in defined contribution plans."
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| 3. |
Sustainable Investing in Defined Contribution Plans: A Guide for Plan Sponsors (PDF)
Defined Contribution Institutional Investment Association [DCIIA]
May 20, 2019
"The recent series of bulletins issued by the DOL has led to confusion due to a lack of clarity in the language and an inconsistent tone over the course of different administrations ... The two primary ways for plan sponsors to implement sustainable investing in DC plans are [1] adding ESG-themed fund options into the fund lineup or self-directed brokerage window, and [2] considering ESG factor integration in investment processes during manager evaluation."
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| 4. |
Defined Contribution Plan Success Factors: Framework for Plans with an Objective of Retirement Income Adequacy (PDF)
Defined Contribution Institutional Investment Association [DCIIA]
May 14, 2015
"DCIIA has developed this best practices framework to outline actions that plan sponsors and fiduciaries can take to build plans that have the greatest potential to help participants achieve retirement readiness.... The framework further addresses specific factors related to Plan Design, Investment Structure, and Plan Monitoring. It can help plan sponsors and fiduciaries: [1] Evaluate existing plans; [2] Develop thoughtfully designed plans; [3] Maximize the effectiveness of auto features programs; and [4] Identify and address suboptimal plan participant behavior."
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| 5. |
Defined Contribution Plan Governance Models: A Guide for Plan Sponsors (PDF)
Defined Contribution Institutional Investment Association [DCIIA]
Apr. 25, 2023
12 pages. "This paper explores various governance models that are used by DC plan sponsors and explains the key players, common fiduciary and settlor decisions, and considerations that may help plan sponsors choose a governance model suitable for their organization."
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| 6. |
Implementing Automatic Features in Defined Contribution Plans (PDF)
Defined Contribution Institutional Investment Association [DCIIA]
Apr. 3, 2014
"Are there any maximum limitations or requirements that plan sponsors should consider when implementing an automatic contribution escalation program? ... Is there a required initial default contribution rate for automatic contribution escalation programs? ... Must automatic contribution escalation programs have a 1 percent step-up auto escalation rate? ... Are plan sponsors required to tie the initial default contribution rate under an auto enrollment program to the plan's maximum matching contribution percentage?"
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| 7. |
Defined Contribution Solutions Look Beyond Yield for Retirement Income (PDF)
Defined Contribution Institutional Investment Association [DCIIA]
Nov. 28, 2022
"This paper explores how low interest rates and inflation impact retirement plan investing when the goal is income generation, rather than asset growth. [The authors] examine the impact to current, prominent income-generating strategies and explore approaches to retirement income generation that have begun gaining the attention of fiduciaries and plan sponsors as new tools to help retirees."
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| 8. |
Barriers to ESG Adoption for Defined Contribution Plans: Insights from Consultants (PDF)
Defined Contribution Institutional Investment Association [DCIIA]
Mar. 17, 2022
"Lack of consistent values across plan participants leads to difficulty in making appropriate fund selections.... Insufficient employee demand leads to delaying consideration.... Shifting political and regulatory environment has led to uncertainty."
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| 9. |
Engaging Participants: Communication Strategies for Defined Contribution Plan Sponsors (PDF)
Defined Contribution Institutional Investment Association [DCIIA]
July 21, 2021
"With success measurement largely limited to the accumulation phase in practice, participation becomes a major criterion; but helping participants to help themselves requires engagement. How do plan sponsors achieve this level of engagement or action from participants? Are defined contribution participants more likely to respond to messages of fear or encouragement? [This report explores] key questions that plan sponsors often ask and offer recent research to help provide answers."
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| 10. |
Testimony to the ERISA Advisory Council: Cognitive Decline Among Defined Contribution Participants (PDF)
Defined Contribution Institutional Investment Association [DCIIA] Retirement Research Center
Nov. 4, 2020
"Six in ten (58%) of our respondents say they provide some level of service and support directly (as opposed to solely through the record keeper) to separated participants, and therefore potentially maintain contact with them. This would indicate the possibility of recognizing cognitive decline if the participant or Trusted Contact communicates with the plan sponsor for service or support.... Seven in ten (69%) respondents say they have no idea how prevalent cognitive decline is among their active, separated or retired participants."
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| 11. |
Initial Impacts of Coronavirus on Global Defined Contribution Plans (PDF)
Defined Contribution Institutional Investment Association [DCIIA]
July 15, 2020
"This report provides a snapshot of initial policy responses related to participant access to defined contribution (DC) plans.... [A] country's policy decision may not only reflect their stance towards DC plan assets but also whether the country has a robust safety net or other significant sources of guaranteed income.... Stakeholders in DC savings programs worldwide have come to understand that providing emergency liquidity access or loans against long-term savings can instill confidence and encourage higher levels of plan enrollment and savings deferrals."
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| 12. |
Rethinking Defined Contribution Communication and Education (PDF)
Defined Contribution Institutional Investment Association [DCIIA]
Dec. 19, 2013
"[1] Don't assume your participants are as passionate as you are.... [2] Use simplistic terms in benefits communications.... [3] Aim to improve participants' financial literacy.... [4] Take advantage of participants' inflection points.... [5] Evolve toward modular communication and education."
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| 13. |
DCIIA Comment Letter to SEC on Proposed Money Market Reforms (PDF)
Defined Contribution Institutional Investment Association [DCIIA]
Sept. 19, 2013
"[I]nvestors in defined contribution plans do not present a risk of mass redemption that may arise with institutional investors. DCIIA therefore respectfully requests that the Commission consider expanding the proposed retail exemption to permit redemptions, without limitation and without the imposition of fees and gates, by investors through a participant-directed defined contribution plan. DCIIA believes that this would eliminate the communication and operational challenges faced by sponsors of defined contribution plans resulting from the Proposal and allow the continued inclusion of prime money market funds as an investment option for defined contribution plans."
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| 14. |
DCIIA Comment Letter to EBSA on Proposed Regs for Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights (PDF)
Defined Contribution Institutional Investment Association [DCIIA]
Dec. 14, 2021
"DCIIA supports the Proposed Rule's principles-based approach and asks the Department to reconsider the proposed inclusion of specific, enumerated examples of ESG factors.... DCIIA appreciates the Department's efforts to remove barriers to considering collateral benefits but believes this could be accomplished without the tiebreaker.... DCIIA applauds the Department's changes to the proxy voting rules and requests an expansion to include separately managed accounts.... DCIIA would like to add context to the Department's economic-impact analysis."
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| 15. |
DCIIA Comment Letter to DOL on Examination of the Final Fiduciary Rule (PDF)
Defined Contribution Institutional Investment Association [DCIIA]
Apr. 18, 2017
"[DCIIA] members have reported sightings of billboard signs soliciting plaintiffs only by reason of their participating in a 401(k) plan and have witnessed broad-scale social media campaigns to solicit 401(k) plan plaintiffs.... DCIIA requests that the [DOL] conduct research to examine the impact of increased litigation on promoting innovation and the successful implementation of defined contribution plans ... [including] an assessment of potential harm to plan participants resulting from lack of access to products and services that can improve their ability to save effectively for retirement but that plan fiduciaries may be reluctant to offer due to the potential threat of litigation."
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| 16. |
DCIIA Comment Letter to DOL on Proposed Regs for State Savings Programs (PDF)
Defined Contribution Institutional Investment Association [DCIIA]
Jan. 24, 2016
"Focusing solely on those with current access to a workplace retirement savings plan would ... not reflect workers temporarily out of the system because they have taken hardship withdrawals, have rollover [IRAs] or ... have cashed out of an employer-sponsored plan following a recent job transition. In addition to coverage, ... leakage continues to be an issue for institutional defined contribution plans that will not be solved by initiatives focused solely on access[.]"
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| 17. |
Summary of DCIIA/SPARK 2021 Public Policy Series: Domestic Themes (PDF)
Defined Contribution Institutional Investment Association [DCIIA]
July 29, 2021
"The combination of a new administration and Congress in Washington, together with the COVID pandemic, shutdown, recession and recovery has focused industry minds and accelerated trends in policy, practice and technology. The defined contribution (DC) savings industry demonstrated notable resilience amid this market volatility and accelerated its consideration of many best practices that bode well for the future."
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| 18. |
DCIIA Comments to EBSA on Proposed Regs for Pension Benefit Statements -- Lifetime Income Illustrations (PDF)
Defined Contribution Institutional Investment Association [DCIIA]
Nov. 22, 2020
"DCIIA believes it is important for the Department to provide reassurance that, and specific examples as to how, good actors seeking to help plan participants achieve secure retirements can safely, without the threat of costly litigation, provide lifetime income information and education to participants and beneficiaries as 'investment education' and not fiduciary 'investment advice' under [ERISA].... This support would assist plan fiduciaries, administrators and service providers who are committed to strengthening retirement security and wish to go beyond the assumptions and form of the model disclosure covered by the Rule[.]"
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| 19. |
DCIIA Custom Target Date Fund Survey (PDF)
Defined Contribution Institutional Investment Association [DCIIA]
Mar. 20, 2019
"Based on the DCIIA sample of those that provided both custom TDF and plan assets, custom TDF strategies accounted for 43% of total plan assets for the year-end 2017. On average, the number of individual funds, or vintages, per custom TDF was ten.... DCIIA estimates that the sum of all TDF strategies ... totaled $2.1 trillion as of year-end 2017. Mutual funds accounted for $1.1 trillion, or 51%, of these TDF assets.... [In] 2015 the total TDF market accounted for an estimated $1.3 trillion across vehicles."
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| 20. |
DCIIA Comment Letter to DOL on Lifetime Income Illustration in Pension Benefit Statements (PDF)
Defined Contribution Institutional Investment Association [DCIIA]
Aug. 8, 2013
"DCIIA is ... concerned that overly prescriptive regulations may inhibit what providers and sponsors do.... [W]e are not yet certain as an industry what approach or methodology to displaying/communicating account balances as income amounts is most effective in changing participant behavior (and it is worth noting that the industry has not defined what a successful change in participant behavior would look like, either)."
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