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Recent Posts
- 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
- DOL’s Betrayal of American Workers Sends a Clear Message to American Workers: We Really Don’t Give a Damn About You!
The Prudent Investment Adviser Rules
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Tag Archives: best interests
Quantifying the Impartial Conduct Standards Under the DOL’s New Fiduciary Rule
With a portion of the DOL’s new fiduciary rule scheduled to go into effect at midnight tonight, there are still some unanswered questions with regard to how some key terms will be interpreted. The key terms in question are primarily … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c compliance, Annuities, BICE, compliance, DOL fiduciary rule, DOL fiduciary standard, ERISA, fiduciary compliance, fiduciary law, Fiduciary prudence, fiduciary standard, Impartial Conduct Standards, investment advisers, pension plans, retirement plans, RIA, wealth management, wealth preservation
Tagged 401k, 401k compliance, 404c, 404c compliance, Active Management Value Ratio, AMVR, Annuities, best interests, BICE, compliance, DOL fiduciary rule, ERISA, fiduciary, fiduciary law, fiduciary standard, Impartial Conduct Standards, investment advisers, investment analysis tools, pension plans, retirement plans, RIA, risk management, wealth management, wealth preservation
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The Investor Revolution: A “Best Interests” Checklist for Investors and Fiduciaries
The DOL recently announced that it will not seek to delay the effective date of the department’s new fiduciary law. Beginning June 9, 2017, anyone providing advice to pension plans and plan participants will be deemed to be a fiduciary, … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, 404c, 404c compliance, DOL fiduciary standard, ERISA, fiduciary compliance, fiduciary law, Fiduciary prudence, fiduciary standard, investment advisers, investments, pension plans, retirement plans, securities compliance, wealth management, wealth preservation
Tagged 401k, 401k compliance, 403b, 404c, 404c compliance, Active Management Value Ratio, best interests, compliance, ERISA, fiduciary, fiduciary law, fiduciary standard, FINRA, investment advisers, investment analysis tools, pension plans, retirement plans, risk management, suitability, wealth management, wealth preservation
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Fiduciary Standard vs. Suitability Standard: The “Gotcha” That Won’t Go Away
There is currently a lot of speculation on how and if the new Trump administration will attempt to undo the DOL’s new fiduciary rule. Opinions range from an attempt to delay the effective date of the new rule to a … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, 404c, 404c compliance, fiduciary compliance, fiduciary law, fiduciary standard, investment advisers, investments, pension plans, retirement plans, RIA, RIA Compliance, securities, securities compliance, wealth management
Tagged 401k compliance, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, best interests, compliance, ERISA, evidence based investing, fiduciary, fiduciary investing, fiduciary law, fiduciary standard, FINRA, investment advisers, pension plans, retirement plans, RIA, RIA compliance, risk management, securities compliance, suitability, wealth management
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The 401(k)/404(c) Plan Sponsor’s Achilles Heels – Redux
With the effective date for the DOL’s new fiduciary standard getting closer, I have been receiving questions and calls from plans and fellow attorneys regarding the various obligations under the new standard. For that reason, I am re-posting an updated … Continue reading
Posted in 401k, 401k compliance, 404c, 404c compliance, DOL fiduciary standard, ERISA, fiduciary compliance, fiduciary law, pension plans, retirement plans
Tagged 401k, 401k compliance, 404c, 404c compliance, best interests, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, fiduciary standard, modern portfolio theory, pension plans, retirement plans
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A Fiduciary Blueprint: The Restatement of Trusts, the Prudent Investor Rule and the DOL’s New Fiduciary Rule
A [fiduciary] is held to something stricter than the morals of the market place. Not honesty alone, but the punctilio of an honor the most sensitive, is the standard of behavior…. Meinhard v. Salmon, 249 N.Y. 458, 464 (1928) Ever … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, Annuities, BICE, DOL fiduciary standard, ERISA, fiduciary compliance, fiduciary law, investment advisers, investments, IRAs, pension plans, retirement plans, RIA, RIA Compliance, securities compliance, wealth management, wealth preservation
Tagged 401k, 401k compliance, 404c, 404c compliance, Active Management Value Ratio, AMVR, Annuities, best interests, BICE, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, fiduciary standard, investment advisers, investment analysis tools, pension plans, retirement plans, RIA, suitability, wealth management, wealth preservation
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“Tipping Off” Potential ERISA Fiduciary Violations – Part 1
As a former catcher, I always enjoyed watching a pitcher to see if he was “tipping off” his pitches so our team could gain an advantage. As an ERISA attorney, one of the services I provide to ERISA consulting clients … Continue reading
Posted in 403b, Annuities, compliance, DOL fiduciary standard, ERISA, evidence based investing, fiduciary compliance, fiduciary law, pension plans, retirement plans, wealth management, wealth preservation
Tagged 401k, 401k compliance, 403b, Active Management Value Ratio, Annuities, best interests, ERISA, fiduciary, fiduciary investing, fiduciary law, fiduciary standard, pension plans, retirement plans, suitability, wealth management, wealth preservation
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401(k) Alert: Protecting Plan Sponsors and Plan Participants Under the BICE Exemption
Most of the litigation against 401(k) plans has focused on excessive fees and/or the poor quality of investment options within a plan. With the effective date of DOL’s new fiduciary standard and the Best Interests Contract exemption (BICE) coming in … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, BICE, compliance, DOL fiduciary standard, ERISA, fiduciary compliance, fiduciary law, investment advisers, investments, IRAs, pension plans, retirement plans, wealth management, wealth preservation
Tagged 401k compliance, 404c, 404c compliance, best interests, BICE, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, fiduciary standard, investment advisers, pension plans, retirement plans, suitability, wealth management, wealth preservation
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The Prudent Investment Fiduciary Rules 