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- Reasserting ERISA’s Private Enforcement Design: A Rebuttal to EBSA’s “Frivolous Litigation” Narrative
- When Income Is Not Enough: Why the Continued Inclusion of In-Plan Annuities May Breach ERISA Duties When Compared to Capital-Preserving Income Alternatives and Strategies
- The Active Management Value Ratio as a Cost-Benefit Framework: Integrating AI into Fiduciary Prudence Analysis
- Battle of the Best Interests – Whose Are the EBSA and the DOL Supposed to Serve, and Whose Are They Really Serving?
- Guest Article On Supreme Court’s Decision to Hear the Intel Case
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Monthly Archives: January 2023
Brotherston Revisited: Will the 10th Circuit Court of Appeals “Fix” the Ongoing 401(k) SNAFU?
“Facts do not cease to exist because they are ignored” – Aldous Huxley In 2018, the First Circuit handed down its decision in Brotherston v. Putnam Investments, LLC.1 The decision is arguably the best analysis of the applicable fiduciary standards … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k plan design, 401k risk management, 403b, closet index funds, compliance, cost consciousness, cost efficient, cost-efficiency, Cost_Efficiency, ERISA, ERISA litigation, fiduciary, fiduciary compliance, fiduciary duty, fiduciary law, fiduciary liability, fiduciary liability, Fiduciary prudence, fiduciary prudence, fiduciary responsibility, fiduciary risk management, fiduciary standard, Mutual funds, pension plans, plan advisers, plan sponsors, prudence, Reg BI, retirement planning, retirement plans, SCOTUS, Supreme Court
Tagged 401k, 401k compliance, 401k litigation, 401k plans, compliance, ERISA, ERISA litigation, fiduciary, fiduciary duty, fiduciary investing, fiduciary law, fiduciary liability, Fiduciary prudence, fiduciary risk management, investment advisers, retirement plans
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4Q 2022 AMVR “Cheat Sheets”: Correlation of Returns, “Closet Indexing,” and Fiduciary Liability
James W. Watkins, III, J.D., CFP Board EmeritusTM, AWMATM First, note the new URL address. After years of having to explain the old “iainsight.wordpress.com” URL, we finally worked with WordPress to accomplish the re-branding. Kudos to WordPress for working with … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k plan design, 401k risk management, Active Management Value Ratio, AMVR, closet index funds, compliance, consumer protection, cost consciousness, ERISA, fiduciary, fiduciary compliance, fiduciary duty, fiduciary law, fiduciary liability, fiduciary liability, Fiduciary prudence, fiduciary prudence, fiduciary responsibility, fiduciary risk management, fiduciary standard, investment advisers, investments, Mutual funds, pension plans, plan advisers, plan sponsors, prudence, retirement plans, risk management, SEC, securities, securities compliance, trust realtionships, wealth management, wealth preservation
Tagged 401k, 401k compliance, Active Expense Ratio, Active Management Value Ratio, compliance, costefficiency, ERISA, fiduciary, fiduciary investing, fiduciary law, investment advisers, retirement plans
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