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- 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?
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Tag Archives: 401k
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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Don’t Go There!
My clients are familiar with several pet phrases that I use to state my opinion in a short, yet definitive manner. One of those phrases that I find myself using a lot is “don’t go there.” As a compliance consultant … Continue reading
Posted in 401k compliance, 404c compliance, compliance, investments, RIA, RIA Compliance
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, retirement plans, RIA, RIA compliance, risk management
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The RIA’s Achilles’ Heel
As an attorney and a compliance consultant, I realize the difference between RIA compliance and RIA risk management. I also realize the importance of both. Unfortunately, I see far too many cases where RIA firms have unnecessary liability risk exposure … Continue reading
Posted in compliance, investments, RIA, RIA Compliance
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, retirement plans, RIA, RIA compliance
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Due Diligence Doldrums
Whether you are a registered representative, an investment advisory representative, or both, you have a legal obligation to do your due diligence regarding the suitability of any investments you intend to recommend to your clients. What many brokers and advisory … Continue reading
Posted in compliance, investments, retirement plans, RIA, RIA Compliance, securities
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, retirement plans, RIA, RIA compliance
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Investment Advisers and Outsourcing
Outsourcing is definitely one of the hot topics with investment advisers. Most investment advisers I talk to about outsourcing feel that outsourcing asset management and/or compliance responsibilities will allow them to concentrate more on building up their assets under management and, consequently, their fees. … Continue reading
Posted in compliance, investments, retirement plans, RIA, RIA Compliance, securities
Tagged 401k, compliance, retirement plans, RIA, RIA compliance, risk management
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The Little Known Win-Win Fiduciary “Gotcha”
It is well-established that investment advisers are fiduciaries. Fiduciary law is based primarily on principles developed under agency law and trust law. When you mention fiduciary law, most people immediately think of the duty of loyalty, the requirement that a … Continue reading
The Prudent Investment Fiduciary Rules 