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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
The Prudent Investment Adviser Rules
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Tag Archives: 404c
Four Faces of Fiduciary Prudence
In defining prudence, ERISA’s rules and regulations state that [A] fiduciary shall discharge his duties with respect to a plan solely in the interest of the participants and beneficiaries…with the care, skill, prudence, and diligence under the circumstances then prevailing … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, pension plans, securities, wealth management, wealth preservation
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, fiduciary, fiduciary law, investment advisers, modern portfolio theory, pension plans, retirement plans, RIA, RIA compliance, RIA risk management, risk management, suitability, wealth management, wealth preservation
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2014 – Brave New Fiduciary World
2014 promises to be a important year for fiduciary liability issues. ERISA advisers, sponsors and attorneys await the Court of Appeals’ decision in Tussey v. ABB,Inc. and its impact on fiduciary issues such as prudence, loyalty and due diligence. If … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, wealth management, wealth preservation
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, fiduciary, fiduciary law, FINRA, investment advisers, pension plans, RIA compliance, securities compliance, wealth management
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Creative Chaos – Creating a Win-Win Situation for Investors and Investment Advisers
Having been involved in the quality of investment advice arena for twenty-five years in some capacity (e.g., securities attorney, RIA consultant, B/D compliance director), I have seen numerous changes in both the industry and the surrounding legal/regulatory environment. There is … Continue reading
Posted in 401k, 401k compliance, 401k investments, compliance, fiduciary compliance, fiduciary law, investments, retirement plans, RIA, RIA Compliance, securities compliance
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, fiduciary, fiduciary law, FINRA, investment advisers, investment analysis tools, RIA, RIA compliance, RIA risk management, risk management, securities compliance, suitability
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Upon Further Review: Do We Already Have a Universal Fiduciary Standard?
The debate over a universal fiduciary standard for the financial services industry continues. To date, as John Adams lamented in “1776,” “piddle. twiddle and resolve, not a damned thing do we solve.” Several studies have conclusively shown that the American … Continue reading
Posted in 401k, 401k compliance, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, retirement plans, securities compliance
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, fiduciary, fiduciary law, FINRA, retirement plans, securities compliance, suitability
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How “Safe” Are ERISA 401(k)/404(c) Safe-Harbors?
Like so many others, I provide consulting services to pension plans. Unlike others, I focus on the risk management aspect of pension plans instead of the fundamental, or administrative, aspects of a plan. I chose to focus on the risk … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, fiduciary compliance, fiduciary law, investments, retirement plans, securities
Tagged 401k, 401k compliance, 404c, 404c compliance, ERISA, fiduciary, fiduciary law, investment advisers, investment analysis tools, retirement plans, risk management, securities compliance
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The Tibble Decision – 3 Valuable Lessons for Plan Sponsors and Other Plan Fiduciaries
Reading the Ninth Circuit’s recent decision in Tibble v. Edison International, I could not help but notice three issues that I believe will significantly impact ERISA plan sponsors and other plan fiduciaries going forward. First, the Court correctly pointed out … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, fiduciary compliance, fiduciary law, investments, retirement plans
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, fiduciary, fiduciary law, investment advisers, investment analysis tools, retirement plans, RIA risk management, risk management
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“The 401(k)/403(b) Investment Manual”
My new book, “The 410(k)/403(b) Investment Manual” is now available from both Amazon and CreatSpace. The manual is intended to provide both plan participants and plan sponsors with valuable information to allow them to properly evaluate the investment options within … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, retirement plans, RIA
Tagged 401k, 401k compliance, 404c, 404c compliance, asset allocation, compliance, ERISA, fiduciary, fiduciary law, investment advisers, investment analysis tools, retirement plans, risk management
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Secrets to a Successful 401(k) Plan
Over the holidays I was catching-up on my reading. One of the articles I came across involved a debate over which metric was more effective in assessing the success of a defined contribution plan, a plan’s rate of participation or … Continue reading
Seeing Is Believing: Marketing to Plan Sponsors
One of the most common questions I get is from advisor is how to convince plan sponsors that they need to review their plan for potential compliance issues. When I ask plan sponsors what it takes to get their attention, … Continue reading
The Active Management Value Ratio™- Revealing the Undisclosed Cost of Actively Managed Mutual Funds
Despite overwhelming evidence that actively managed mutual funds generally under-perform passively managed index funds, the evidence indicates that most investors continue to purchase and hold actively managed funds. Even when an actively managed fund does outperform its relevant index, the … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, retirement plans, RIA Compliance, securities, securities compliance
Tagged 401k, 401k compliance, 404c, 404c compliance, asset allocation, compliance, fiduciary, fiduciary law, investment advisers, investment analysis tools, modern portfolio theory, portfolio optimization, retirement plans, RIA, RIA compliance, risk management, securities compliance, suitability
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