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Recent Posts
- Reasserting ERISA’s Private Enforcement Design: A Rebuttal to EBSA’s “Frivolous Litigation” Narrative
- When Income Is Not Enough: Why the Continued Inclusion of In-Plan Annuities May Breach ERISA Duties When Compared to Capital-Preserving Income Alternatives and Strategies
- 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
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Category Archives: securities compliance
New Compliance and Liability White Paper
With the new year comes the renewal of the debate over one universal fiduciary standard for those providing investment advice to the public. What many compliance professionals do not realize is that many jurisdictions already impose a fiduciary standard on … Continue reading
Posted in 401k compliance, 404c compliance, compliance, investments, retirement plans, RIA, RIA Compliance, securities compliance
Tagged 401k, 401k compliance, 404c compliance, ERISA, investment advisers, retirement plans, RIA compliance, risk management, securities compliance, suitability
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That Dog Won’t Hunt
First, my apologies for the delay between posts. It has been incredibly busy between helping advisers prepare for the conversion to state supervision, helping new RIAs set-up their practices and performing fiduciary audits. I think RIA firms are finally getting … Continue reading
The Prudent Investment Fiduciary Rules 