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The Prudent Investment Adviser Rules
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Category Archives: compliance
“Tipping Off” Potential ERISA Fiduciary Violations – Part 1
As a former catcher, I always enjoyed watching a pitcher to see if he was “tipping off” his pitches so our team could gain an advantage. As an ERISA attorney, one of the services I provide to ERISA consulting clients … Continue reading
Posted in 403b, Annuities, compliance, DOL fiduciary standard, ERISA, evidence based investing, fiduciary compliance, fiduciary law, pension plans, retirement plans, wealth management, wealth preservation
Tagged 401k, 401k compliance, 403b, Active Management Value Ratio, Annuities, best interests, ERISA, fiduciary, fiduciary investing, fiduciary law, fiduciary standard, pension plans, retirement plans, suitability, wealth management, wealth preservation
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ERISA and Modern Portfolio Theory – Prudence Per Footnote 8
As an ERISA attorney and compliance consultant, I often hear plan sponsors and service providers attempt to justify an imprudent investment option by claiming that they are simply complying with the DOL’s and the courts’ adoption of Modern Portfolio Theory … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, DOL fiduciary standard, evidence based investing, fiduciary compliance, fiduciary law, investment advisers, investments, pension plans, retirement plans, wealth management
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, modern portfolio theory, pension plans, retirement plans, RIA risk management, securities compliance, wealth management
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401(k) Alert: Protecting Plan Sponsors and Plan Participants Under the BICE Exemption
Most of the litigation against 401(k) plans has focused on excessive fees and/or the poor quality of investment options within a plan. With the effective date of DOL’s new fiduciary standard and the Best Interests Contract exemption (BICE) coming in … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, BICE, compliance, DOL fiduciary standard, ERISA, fiduciary compliance, fiduciary law, investment advisers, investments, IRAs, pension plans, retirement plans, wealth management, wealth preservation
Tagged 401k compliance, 404c, 404c compliance, best interests, BICE, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, fiduciary standard, investment advisers, pension plans, retirement plans, suitability, wealth management, wealth preservation
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The Two Minute ERISA Fiduciary Liability Risk Management Challenge
I love fiduciary law. In a world with so many legal uncertainties, indecision and “weasel words,” fiduciary law is demanding and direct. The Restatement (Third) of Trusts, specifically Section 90, the Prudent Investor Rule, sets out the basic fiduciary requirements. … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, ERISA, evidence based investing, fiduciary compliance, fiduciary law, investment advisers, investments, pension plans, retirement plans, RIA, RIA Compliance, securities compliance, wealth management
Tagged 401k, 401k compliance, 404c, 404c compliance, Active Management Value Ratio, compliance, ERISA, evidence based investing, fiduciary, fiduciary investing, fiduciary law, investment advisers, investment analysis tools, pension plans, retirement plans, RIA, RIA compliance, RIA risk management, securities compliance, wealth management
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The Liability Needle in the RIA Haystack
I have always enjoyed working with registered investment advisers (RIAs) and their representatives (IARs). I first got into the investment industry in 1995, shortly after the NASD issued Notice to Members 94-44. NTM 94-44 clearly stated that BDs had a … Continue reading
A Little More Knowledge on Reducing 401(k) Plan Sponsor Liability
As I have mentioned several times, I believe that the current environment presents investment advisors with a perfect opportunity to enter the 401(k) arena and prove the value added proposition that they can provide. The DOL’s recently announced fiduciary standard … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, ERISA, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, wealth management, wealth preservation
Tagged 401k, 401k compliance, 404c, 404c compliance, Active Management Value Ratio, AMVR, ERISA, fiduciary, fiduciary law, investment advisers, investment analysis tools, pension plans, retirement plans, wealth management, wealth preservation
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To BICE Or Not To BICE, That Is the Question.
I read an interesting article today on LinkedIn Pulse entitled “401(k) Opportunity, Is That You ?” by Rebecca Hourihan. https://www.linkedin.com/pulse/401k-fiduciary-opportunity-you-rebecca-hourihan-aif-ppc-?trk=mp-reader-card Ms. Hourihan addressed the same question that several of my plan sponsor fiduciary clients have asked me – what are the potential … Continue reading
Posted in 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, wealth preservation
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, investment advisers, pension plans, retirement plans, RIA risk management, risk management, securities compliance, wealth preservation
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Going Forward: Quantifying “Best Interest,” Reasonable Compensation and Suitability for Investment Professionals
With the DOL’s recent release of their new fiduciary rule (Rule)and the related Best Interest Contract Exemption (BICE), there has been an increased interest in the concepts of “best interest” and prudence, two of the key concepts involved with both … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, wealth management, wealth preservation
Tagged 401k compliance, 404c, 404c compliance, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, FINRA, investment advisers, investment analysis tools, pension plans, retirement plans, suitability, wealth management, wealth preservation
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“Best Interest,” BICE and Class Action Targets, Part II
Much has been written about the Department of Labor’s (DOL) new fiduciary rule and the accompanying Best Interest Contract Exemption (BICE). Several writers have suggested that the group that will benefit the most from the rule and BICE are class … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, compliance, fiduciary compliance, fiduciary law, investments, IRAs, pension plans, retirement plans, securities, securities compliance, wealth management, wealth preservation
Tagged 401k, 404c, compliance, ERISA, fiduciary, fiduciary law, investment advisers, investment analysis tools, pension plans, retirement plans, wealth management, wealth preservation
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“Best Interest,” BICE and Class Action Targets
Much has been written about the Department of Labor’s (DOL) new fiduciary rule and the accompanying Best Interest Contract Exemption (BICE). Several writers have suggested that the group that will benefit the most from the rule and BICE are class … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, securities compliance, wealth management, wealth preservation
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, investment advisers, investment analysis tools, pension plans, retirement plans, securities compliance, suitability, wealth management, wealth preservation
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