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Recent Posts
- 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
- The DOL’s Pizarro v. Home Depot Amicus Brief: Borzi and Gomez Don’t Live Here @ EBSA Anymore
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Category Archives: plan advisers
3Q 2023 AMVR “Cheat Sheets”: Fiduciary Law Benchmarks That Really Matter
The six funds shown are six of the leading non-index funds that are consistently offered in U.S. domestic defined contribution plans. My development of the Active Management Value Ratio (AMVR) metric was originally based on the work of Nobel laureate … Continue reading
Posted in 401k, 401k compliance, 401k litigation, 401k plan design, 401k plans, 401k risk management, 403b, Active Management Value Ratio, AMVR, closet index funds, consumer protection, cost consciousness, cost efficient, 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, investments, Mutual funds, pension plans, plan advisers, plan sponsors, prudence, retirement plans, risk management, SCOTUS, Supreme Court
Tagged 401k, 401k compliance, 401k fiduciary, 401k litigation, 401klitigation, compliance, ERISA, fiducairy risk management, fiduciary, fiduciary investing, fiduciary law, fiduciary liability, Fiduciary prudence, fiduciary responsibilities, fiduciary responsibility, fiduciary risk management, fiduciaryliability, fiduciarylitigation, fiduciaryprudence, fiduciaryriskmanagement, plan sponsor, plan sponsors, retirement plans
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Making ERISA Meaningful: Common Sense, “Humble Arithmetic,” SCOTUS, and the Matney Case
The Tenth Circuit Court of Appeals finally issued its much-anticipated decision in Matney v. Briggs Gold of North America1 (Matney). As expected, the Court upheld the district court’s dismissal of the case. The good news is that the Tenth Circuit’s … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k litigation, 401k plan design, 401k plans, 401k risk management, 403b, Active Management Value Ratio, compliance, cost consciousness, cost efficient, 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, investments, Mutual funds, pension plans, plan advisers, plan sponsors, prudence, risk management, SCOTUS, Supreme Court
Tagged 401k, 401k compliance, 401k litigation, 401k plans, 401k risk management, compliance, ERISA, fiduciary, fiduciary duty, fiduciary investing, fiduciary law, fiduciary liability, Fiduciary prudence, fiduciary responsibility, plansponsor, retirement plans
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Why Smart Fiduciaries Avoid Annuities: “Humble Arithmetic,” Annuities, and Fiduciary Liability
By James W. Watkins, III, J.D., CFP Board Emeritus™, AWMA® [A] victim to the relentless rules of humble Arithmetic. Remember, O stranger, ‘Arithmetic is the first of the sciences and the mother of safety.’U.S. Supreme Court Justice Louis Brandeis Fiduciary … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k litigation, 401k plan design, 401k plans, 401k risk management, 403b, Active Management Value Ratio, AMVR, Annuities, compliance, consumer protection, cost consciousness, 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, investments, Mutual funds, pension plans, plan advisers, plan sponsors, prudence, retirement planning, retirement plans, risk management, wealth management, wealth preservation
Tagged 401k, 401k compliance, 401k fiduciary, Annuities, compliance, consumer protection, ERISA, fiduciary, fiduciary duty, fiduciary investing, fiduciary law, fiduciary liability, fiduciary loyalty, fiduciary oversight, Fiduciary prudence, fiduciary responsibilities, fiduciary responsibility, fiduciary risk management, fiduciary standard, fiduciaryliability, fiduciarylitigation, fiduciaryresponsibility, investor protection
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Could the Matney and Home Depot Decisions Signal the End of the 401(k)/403(b) Litigation SNAFU? Are Plan Sponsors Really Ready?
By James W. Watkins, III, J.D., CFP Board Emeritus™, AWMA® People often ask me why I write and comment so much about the Matney case.1 As a fiduciary risk management counsel, my job is to monitor developments in fiduciary law … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k plan design, 401k plans, 401k risk management, 403b, Active Management Value Ratio, AMVR, cost consciousness, cost efficient, 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, investment advisers, investments, Mutual funds, pension plans, plan advisers, plan sponsors, prudence, retirement plans, risk management, wealth management, wealth preservation
Tagged 401k, 401k compliance, 401k fiduciary, compliance, ERISA, fiducairy risk management, fiduciary, fiduciary duty, fiduciary investing, fiduciary law, fiduciary liability, Fiduciary prudence, fiduciary responsibilities, fiduciary responsibility, fiduciary risk management, fiduciary standard, retirement plans
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2Q 2023 “Cheat Sheets”: Plan Sponsors’ IDK/FOFO Strategy and the Future of Fiduciary Liability and Litigation
By James W. Watkins, III, J.D., CFP Board Emeritus™, AWMA® An analysis of the 2Q “cheat sheets” can be summed up quite simply – “the song remains the same.” None of the six funds qualified for an AMVR score based … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k plan design, 401k risk management, 403b, Active Management Value Ratio, AMVR, compliance, consumer protection, cost consciousness, cost efficient, 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, investment advisers, investments, Mutual funds, pension plans, plan advisers, plan sponsors, prudence, retirement plans, risk management, wealth management, wealth preservation
Tagged 401k, 401k compliance, compliance, ERISA, fiduciary, fiduciary duty, fiduciary investing, fiduciary law, fiduciary liability, fiduciary loyalty, Fiduciary prudence, fiduciary responsibilities, fiduciary responsibility, fiduciary risk management, fiduciarylitigation, investment advisers, retirement plans
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Is the Exxon Model the Future of ERISA Fiduciary Prudence?
By James W. Watkins, III, J.D., CFP Board Emeritus™, AWMA® “Living is easy with eyes closedMisunderstanding all you see…” “Strawberry Fields Forever” – The Beatles In my role as a fiduciary risk management counsel, I constantly see plan sponsors and … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k plan design, 401k risk management, 403b, Active Management Value Ratio, AMVR, compliance, consumer protection, cost consciousness, cost efficient, cost-efficiency, ERISA, ERISA litigation, evidence based investing, 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, SCOTUS, Supreme Court
Tagged 401k, 401k compliance, 404c compliance, compliance, ERISA, ERISA liability, ERISA litigation, ERISAlitigation, fiducairy risk management, fiduciary, fiduciary duty, fiduciary investing, fiduciary law, fiduciary liability, Fiduciary prudence, fiduciary responsibilities, fiduciary responsibility, investment advisers, retirement plans
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The Active Expense Ratio: Fiduciary Risk Management’s “Little Secret”
By James W. Watkins, J.D., CFP Board Emeritus™, AWMA® When I created the Active Management Value Ratio (AMVR) metric, the goal was to create a simple tool that would allow investors, investment fiduciaries, and attorneys to quickly and easily evaluate … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k plan design, 401k risk management, 403b, Active Management Value Ratio, AMVR, asset allocation, 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, investment advisers, investments, Mutual funds, pension plans, plan advisers, plan sponsors, prudence, retirement planning, retirement plans, risk management, SCOTUS, wealth management, wealth preservation
Tagged 401k, 401k compliance, 401k litigation, compliance, ERISA, ERISA litigation, fiduciary, fiduciary investing, fiduciary law, fiduciary liability, Fiduciary prudence, fiduciary responsibility, fiduciary risk management, fiduciaryliability, investment advisers, retirement plans
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Common Sense and Fundamental Fairness: The Matney Case and the Future of 401(k)/403(b) Litigation
By James W. Watkins, J.D., CFP Board Emeritus™, AWMA® I have referenced the Matney v. Briggs Gold of North America (Matney) case1 in a number of recent posts. In my opinion, the significance of Matney lies in the fact that … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k plan design, 401k risk management, 403b, Active Management Value Ratio, AMVR, consumer protection, 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, investments, Mutual funds, pension plans, plan advisers, plan sponsors, prudence, retirement planning, retirement plans, risk management, SCOTUS, SEC, wealth management, wealth preservation
Tagged 401k, 401k compliance, 401k fiduciary, compliance, cost consciousness, cost efficient investing, costefficiency, costinefficiency, ERISA, fiduciary, fiduciary duty, fiduciary investing, fiduciary law, fiduciary liability, fiduciary loyalty, fiduciary oversight, Fiduciary prudence, fiduciary responsibility, fiduciary risk management, retirement plans
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1Q 2023 AMVR “Cheat Sheets”: How Much Active Management Do Actively Managed Funds Really Provide?
By James W. Watkins, J.D., CFP Board Emeritus™, AWMA® The words that I rememberFrom my childhood still are trueThat there’s none so blindAs those who will not see– Justin Hayward/Moody Blues – “I Know You’re Out There Somewhere” I know … Continue reading
Posted in 401k plan design, 401k risk management, 403b, Active Management Value Ratio, AMVR, closet index funds, compliance, cost consciousness, cost efficient, 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, investment advisers, investments, Mutual funds, pension plans, plan advisers, plan sponsors, prudence, retirement plans, risk management, SCOTUS, SEC, Supreme Court, wealth management, wealth preservation
Tagged 401k, 401k compliance, 401k fiduciary, 401k risk management, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, fiduciary liability, Fiduciary prudence, fiduciary responsibility, fiduciary risk management, investment advisers, retirement plans
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“At the Pleading Stage”: An Analysis of the Seventh Circuit’s Reconsideration of Hughes v. Northwestern University
by James W. Watkins, III, J.D., CFP Board EmeritusTM AWMA® The Seventh Circuit’s recent decision1 in Hughes v. Northwestern University simply reinforces my opinion that there is definitely a trend going on in 401(k) and 403(b) litigation, a trend reinforcing … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k plan design, 401k risk management, 403b, Active Management Value Ratio, AMVR, 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, SCOTUS, Supreme Court
Tagged 401k, 401k fiduciary, compliance, ERISA, fiduciary, fiduciary duty, fiduciary investing, fiduciary law, fiduciary liability, Fiduciary prudence, fiduciary responsibilities, fiduciary responsibility, fiduciary risk management, fiduciaryresponsibility
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