Category Archives: 401k investments

Seeing Is Believing: Marketing to Plan Sponsors

Posted on November 5, 2012 by jwatkins

One of the most common questions I get is from advisor is how to convince plan sponsors that they need to review their plan for potential compliance issues.  When I ask plan sponsors what it takes to get their attention, … Continue reading →

Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments | Tagged , , , , , , , , | Leave a comment

The Active Management Value Ratio™- Revealing the Undisclosed Cost of Actively Managed Mutual Funds

Posted on August 6, 2012 by jwatkins

Despite overwhelming evidence that actively managed mutual funds generally under-perform passively managed index funds, the evidence indicates that most investors continue to purchase and hold actively managed funds.  Even when an actively managed fund does outperform its relevant index, the … Continue reading →

Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, retirement plans, RIA Compliance, securities, securities compliance | Tagged , , , , , , , , , , , , , , , , , | Leave a comment

Is ERISA Section 408(b)(2) the New 401(k) Fiduciary’s Achilles’ Heel

Posted on June 25, 2012 by jwatkins

On July 1st, the disclosure requirements of ERISA 408(b)(2) go into effect with regard to plan providers and plan sponsors.  Disclosure requirements between plan sponsors and plan participants are scheduled to go into effect at the end of August. Plan … Continue reading →

Posted in 401k, 401k compliance, 401k investments, compliance, fiduciary compliance, fiduciary law, investments, retirement plans, RIA, RIA Compliance | Tagged , , , , , , , , , | Leave a comment