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Category Archives: 404(a)
ERISA 404(a) vs. NAIC Rule 275 -Wake-Up Call or Ticking Fiduciary Litigation/Liability Time Bomb for Plan Sponsors?
James W. Watkins, III, J.D., CFP EmeritusTM, AWMA® As a fiduciary risk management counsel, I’m often asked about my opinion as to the biggest risk management mistake plan sponsors make. To me, the answer is simple. The biggest and most … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k litigation, 401k plan design, 401k plans, 401k risk management, 401klitigation, 404(a), Annuities, best interest, DOL, ERISA, ERISA litigation, ERISA litigation, fiduciary liability, ERISA litigation, ERISA, ERISA litigation, fiduciary responsibility, fiduciary prudence, fiduciary duties, fiduciary litigation, 401k, 401k plans, plan sponsor, plan sponsors, fiduciary law, fiduciary, fiduciary compliance, fiduciary duty, fiduciary law, fiduciary liability, fiduciary liability, Fiduciary litigation, Fiduciary prudence, fiduciary prudence, fiduciary responsibility, fiduciary risk management, fiduciary standard, fiduciarylitigation, pension plans, plan sponsors, risk management
Tagged 401k compliance, 401k fiduciary, 401kplans, Annuities, ERISA, fiduciary, fiduciary risk management, investing, plan sponsor
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“And Their Beneficiaries”: Annuities, Commensurate Return, and Fiduciary Liability
James W. Watkins, III, J.D., CFP EmeritusTM, AWMA® ERISA Section 404a-1 provides as follows: 2550.404a-1 Investment duties. (a) In general. Sections 404(a)(1)(A) and 404(a)(1)(B) of the Employee Retirement Income Security Act of 1974, as amended (ERISA or the Act) provide, … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k litigation, 401k plans, 401k risk management, 401klitigation, 404(a), Active Management Value Ratio, AMVR, Annuities, consumer protection, cost-efficiency, defined contribution, DOL, elderly investment fraud, ERISA, ERISA litigation, ERISA, ERISA litigation, fiduciary responsibility, fiduciary prudence, fiduciary duties, fiduciary litigation, 401k, 401k plans, plan sponsor, plan sponsors, fiduciary law, fiduciary, fiduciary compliance, fiduciary duty, fiduciary law, fiduciary liability, fiduciary liability, Fiduciary prudence, fiduciary prudence, fiduciary responsibility, fiduciary standard, Mutual funds, pension plans, plan sponsors, prudence, retirement planning, retirement plans, risk management, wealth preservation
Tagged 401k 401k plans, Annuities, ERISA, ERISA litigation, fiduciary, fiduciary investing, fiduciary law, fiduciary liability, fiduciary responsibility, fiduciary riskmanagement, investing, investor protection, litigation, personal-finance, plansponsor, plansponsors, retirement, retirement planning
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Plan Sponsor and RIA Alert: Navigating the 78(3) Fiduciary Liability “Gotcha”
James W. Watkins, III, J.D., CFP EmeritusTM, AWMA® During a recent deposition I asked the plan sponsor if he understood the requirement under the fiduciary duties of prudence and loyalty. His answers were your basic ERISA 404(a) language. When he … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k litigation, 401k plan design, 401k plans, 401k risk management, 401klitigation, 404(a), Annuities, compliance, ERISA, ERISA litigation, fiduciary, fiduciary compliance, fiduciary duty, fiduciary law, fiduciary liability, fiduciary liability, Fiduciary prudence, fiduciary prudence, fiduciary responsibility, fiduciary risk management, fiduciarylitigation, pension plans, plan advisers, plan sponsors, prudence, retirement plans, RIA, RIA Compliance, RIA marketing, risk management
Tagged 401k, 401k compliance, 401k fiduciary, 401k litigation, 401k plans, Annuities, compliance, ERISA, fiduciary, fiduciary law, investment advisers, plan sponsors, RIA compliance, RIA marketing, RIA risk management
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The Prudent Investment Fiduciary Rules 