Roundtable Talks

Who gets a say in the 401(k)?

Technology, trust, and the future of advice: An in-depth analysis with fintech, regulatory, and retirement experts

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Whose decision is it anyway?

Who gets to decide whether a saver can get advice on their retirement account from an advisor they trust and what frameworks govern that relationship?

There are a lot of questions across the industry about how recordkeepers, permissions, fiduciary responsibility, cybersecurity, data, technology, and sometimes competing business models all play nice together. Here are expert answers.

"The law does not prohibit participants from choosing an outside advisor. The question is, how do we do it?"

Lisa M. Gomez, Former Assistant Secretary of Labor for Employee Benefits Security at U.S. Department of Labor

“There’s a clear understanding that the consumer owns the data”

Penny Lee, President and CEO, Financial Technology Association (FTA)

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“There’s a clear understanding that the consumer owns the data”

Penny Lee, President and CEO, Financial Technology Association (FTA)

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"The law does not prohibit participants from choosing an outside advisor. The question is, how do we do it?"

Lisa M. Gomez, Former Assistant Secretary of Labor for Employee Benefits Security at U.S. Department of Labor

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“There’s a clear understanding that the consumer owns the data”

Penny Lee, President and CEO, Financial Technology Association (FTA)

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"Retirement seems to have even more silos than a lot of other parts of consumers’ financial lives"

Dan Murphy, Former CFPB Open Banking Program Manager; Founder, Sunset Park Advisory

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“It creates an inefficiency for the client to get advice where they need it”

Brian Vendig, CPA, AIF®, President and Chief Investment Officer, MJP Wealth Advisors

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“Personalization and meeting consumer expectations is the number one challenge”

Ben White, Retirement Strategic Partnerships and Public Policy, Pontera

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“Personalization and meeting consumer expectations is the number one challenge”

Ben White, Retirement Strategic Partnerships and Public Policy, Pontera

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Watch the full webinar

Have more questions? Fill out the form below to access the full discussion.

Who gets a say in the 401(k)? Full Roundtable Talk

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Meet our panel of industry experts

"At what point does a business model concern override other things that we're trying to achieve, ways in which we're trying to help retirement savers? […] the bottom line to all of that is not letting any of those things get in the way of progress and being able to really deliver for retirement savers in the way we best can."

Lisa M. Gomez

Former Assistant Secretary of Labor for Employee Benefits Security at U.S. Department of Labor

"At what point does a business model concern override other things that we're trying to achieve, ways in which we're trying to help retirement savers? […] the bottom line to all of that is not letting any of those things get in the way of progress and being able to really deliver for retirement savers in the way we best can."

Lisa M. Gomez

Former Assistant Secretary of Labor for Employee Benefits Security at U.S. Department of Labor

Who gets a say in the 401(k)?

Technology, trust, and the future of advice: An in-depth analysis with fintech, regulatory, and retirement experts

Whose decision is it anyway?

"The law does not prohibit participants from choosing an outside advisor. The question is, how do we do it?"

“There’s a clear understanding that the consumer owns the data”

“There’s a clear understanding that the consumer owns the data”

"The law does not prohibit participants from choosing an outside advisor. The question is, how do we do it?"

“There’s a clear understanding that the consumer owns the data”

"Retirement seems to have even more silos than a lot of other parts of consumers’ financial lives"

“It creates an inefficiency for the client to get advice where they need it”

“Personalization and meeting consumer expectations is the number one challenge”

“Personalization and meeting consumer expectations is the number one challenge”

Watch the full webinar

Who gets a say in the 401(k)? Full Roundtable Talk

Meet our panel of industry experts

Lisa M. Gomez

Brian Anderson

Brian Vendig, CPA, AIF®

Penny Lee

Dan Murphy

Ben White

Read more about the future of the 401(k)

401(k) Day 2026: Why it matters for advisors, savers, and the future of retirement planning

401(k) Day 2026: Why it matters for advisors, savers, and the future of retirement planning