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Recent Posts
- Quantifying Fiduciary Prudence, Part I: Artificial Intelligence as a Fiduciary Risk/Liability Mitigation Tool Under ERISA
- May It Please the Court: Closing Argument On Fiduciary Duty of Disclosure Under ERISA Section 404(a) and Section 78(3) of the Restatement (Third) of Trusts
- Who’s Overseeing the DOL and EBSA? DOL FAB 2026-01’s Fatal Flaw Is Actually a Fiduciary Trap for Unwary Plan Sponsors
- May It Please The Court: THE EBSA’s Legally Unsupported, Unfounded, and Bootstrapped Policies Create a Systemic Threat to Plan Participants and Plan Sponsors Alike and Must Be Rejected
- A Call for Senate Oversight Hearings: The Systemic Risk to Plan Sponsors and Plan Participants Created by the EBSA’s Expansive and Legally Unsupported Extrapolations of ERISA Fiduciary Principles
The Prudent Investment Adviser Rules
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Category Archives: Trust marketing
2017: Brave New World
2016 will be remembered by most financial advisers as the year of the fiduciary standard, the year everything changed forever. Some would challenge this statement, claiming that the Trump administration will make sure the DOL’s new fiduciary rule is reversed. … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, 404c, 404c compliance, compliance, DOL fiduciary standard, ERISA, evidence based investing, fiduciary compliance, fiduciary law, fiduciary standard, investment advisers, investments, pension plans, retirement plans, RIA, RIA Compliance, securities compliance, Trust marketing, trust realtionships
Tagged 401k, 401k compliance, 404c, 404c compliance, Active Management Value Ratio, asset allocation, client trust, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, fiduciary standard, financial planning, financial plans, FINRA, investment advisers, investment analysis tools, pension plans, retirement plans, RIA, RIA compliance, securities compliance, suitability
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Make a Little Magic: Developing Trust Relationships With Clients
As both a securities attorney and a CFP® professional, I get to see a side of the financial planning and wealth management industries that few get to see – the consumer’s inside viewpoint on the marketing and service practices side … Continue reading
Posted in DOL fiduciary standard, evidence based investing, fiduciary compliance, investment advisers, Trust marketing, trust realtionships, wealth management, wealth preservation
Tagged client trust, ERISA, fiduciary investing, FINRA, investment advisers, investment analysis tools, pension plans, trust relationships, wealth management, wealth preservation
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The Prudent Investment Fiduciary Rules 