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Recent Posts
- 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
- Fair Dinkum: A Critique of the EBSA’s Amicus Brief in Pizarro v. Home Depot
- Upon Further Review; The 3 X 3 Analysis That Shows Why Prudent Plan Sponsors Will Never Offer Annuities Within Their Plan
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Category Archives: fiduciary compliance
Making BICE Meaningful – Reality vs. Illusion
I have had a lot of people ask me what I thought of the DOL’s new fiduciary standard. While I think there are some good points to the new fiduciary standard, in many ways the new standard reminded me of … Continue reading
Posted in 401k, 401k compliance, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, wealth management
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, Compliance Gauntlet, ERISA, fiduciary, fiduciary investing, fiduciary law, FINRA, investment advisers, pension plans, retirement plans, RIA compliance, securities compliance, suitability
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And Now the Fiduciary Radar Shifts to …
Now that the DOL has released its new fiduciary rule, advisers are wondering what could be “the next big thing” drawing upon the new rule. Canada has recently announced that it would conduct a sweeping investigation of the abusive marketing … Continue reading
Posted in 401k, 401k investments, 404c, 404c compliance, evidence based investing, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, RIA Compliance, wealth management, wealth preservation
Tagged 401k, 401k compliance, 404c, ERISA, evidence based investing, fiduciary, fiduciary investing, fiduciary law, investment advisers, investment analysis tools, pension plans, suitability, wealth management, wealth preservation
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The 401(k)/404(c) Plan Sponsor’s Achilles Heels Redux
With the effective date for the DOL’s new fiduciary standard getting closer, I have been receiving questions and calls from plans and fellow attorneys regarding the various obligations under the new standard. For that reason, I am re-posting an updated … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, wealth management
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, investment advisers, pension plans, retirement plans, wealth management
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What the New DOL Fiduciary Standard Will and Will Not Do
As many of you may know, I released my new book on fiduciary law last week. I was immediately flooded with emails asking me why I would release the book before the DOL’s announcement. There is so much misinformation and … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans
Tagged 401k, 401k compliance, 404c compliance, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, retirement plans
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“The Prudent Investment Adviser Rule™: Risk and Liability Management for Investment Fiduciaries”
With the pending release of the Department of Labor’s new fiduciary standard, I am happy to announce that my new book and ebook, “The Prudent Investment Adviser Rule™: Risk and Liability Management for Investment Fiduciaries,: are now available at amazon.com. … Continue reading
Posted in compliance, fiduciary compliance, fiduciary law, RIA, RIA Compliance, securities compliance
Tagged compliance, ERISA, fiduciary, fiduciary law, investment advisers, RIA, RIA compliance, RIA risk management, risk management, securities compliance, suitability, wealth management
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2016 So Far and the Levy Decision
I recently posted an article on my blogs about the fact that not everyone is losing money in 2016. I had several people respond negatively, some rudely so, suggesting that I did not understand the cyclical nature of the stock … Continue reading
Posted in compliance, fiduciary compliance, fiduciary law, investments, RIA, RIA Compliance, securities, securities compliance, wealth management, wealth preservation
Tagged compliance, fiduciary, fiduciary law, investment advisers, RIA compliance, RIA risk management, risk management, securities compliance, wealth management, wealth preservation
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401K Mutual Funds Fail Fiduciary Prudence Test
Our recent analysis of the top ten mutual funds in 401(k) plans revealed that 7 of the 10 funds failed to pass our simple fiduciary prudence test. The funds were evaluated based on their five-year performance between 2011-2015. The findings … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, evidence based investing, fiduciary compliance, fiduciary law, investments, pension plans, wealth management, wealth preservation
Tagged 401k compliance, 404c, 404c compliance, ERISA, evidence based investing, fiduciary, fiduciary investing, fiduciary law, financial planning, investment advisers, investment analysis tools, pension plans, retirement plans, RIA, suitability, wealth management, wealth preservation
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Some Common RIA Mistakes That Regulators Are Focusing On in 2016
Going to start the new year with a rather brief, but important, post. The regulators have announced their intent to perform more RIA audits in 2016. Some recent cases have highlighted issues that do not regularly receive the amount of … Continue reading
Posted in compliance, fiduciary compliance, fiduciary law, investments, RIA, RIA Compliance
Tagged compliance, fiduciary, fiduciary law, investment advisers, RIA, RIA compliance
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Combining the Active Management Value Ratio 2.0™ and the Active Expense Ratio – A More Meaningful Evaluation of Fiduciary Prudence
“The two variables that do the best job in predicting [a mutual fund’s] performance are expense ratios and turnover.”- Burton Malkiel, “A Random Walk Down Wall Street” Registered investment advisers and their representatives are fiduciaries. The courts have consistently held … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, evidence based investing, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, wealth management, wealth preservation
Tagged 401k, 401k compliance, 404c compliance, asset allocation, ERISA, evidence based investing, fiduciary, fiduciary investing, fiduciary law, investment advisers, investment analysis tools, pension plans, portfolio optimization, RIA, RIA compliance, suitability, wealth management, wealth preservation
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ERISA, Fiduciary Duty and the Art of Skinnydipping
Only when the tide goes out do you discover who’s been swimming naked. – Warren Buffett As followers of this blog know, I normally post once a month. However, I am making an exception due to the importance of the … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, evidence based investing, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, RIA, wealth management, wealth preservation
Tagged 401k, 401k compliance, 404c, 404c compliance, asset allocation, ERISA, fiduciary, fiduciary investing, fiduciary law, investment advisers, investment analysis tools, pension plans, retirement plans, RIA, suitability, wealth management, wealth preservation
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The Prudent Investment Fiduciary Rules 
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