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- 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
- DOL/EBSA Field Assistance Bulletin 2026-01 Is Not Entitled to Judicial Deference Under The Loper Bright Decision
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Tag Archives: compliance
Fiduciaries, We Ain’t No Stinkin’ Fiduciaries: Help for Fiduciaries and Unsuspecting Fiduciaries
As a securities attorney that represents investors and provides consulting and compliance services to RIA firms, I can honestly say that one of the most common problems I encounter with RIA firms is a failure to develop an effective risk … 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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Is ERISA Section 408(b)(2) the New 401(k) Fiduciary’s Achilles’ Heel
On July 1st, the disclosure requirements of ERISA 408(b)(2) go into effect with regard to plan providers and plan sponsors. Disclosure requirements between plan sponsors and plan participants are scheduled to go into effect at the end of August. Plan … Continue reading
Posted in 401k, 401k compliance, 401k investments, compliance, fiduciary compliance, fiduciary law, investments, retirement plans, RIA, RIA Compliance
Tagged 401k, 401k compliance, compliance, ERISA, fiduciary, fiduciary law, investment advisers, retirement plans, RIA compliance, securities compliance
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Integrated Estate Planning: A Win-Win for Both Clients and Wealth Managers
The concept of wealth management is an interesting proposition. A recent study by CEG Worldwide concluded that only 6 percent of those holding themselves out as wealth managers actually provided comprehensive wealth management services, with the remaining 94 percent simply … Continue reading
Five Legal Decisions Every RIA and Fiduciary Should Know
In his most recent book, “The New Wealth Management, “ respected industry expert Harold Evensky noted that investment advisers have an obligation to understand both their professional duties and their legal responsibilities. While compliance violations often result in fines, legal … Continue reading
Posted in compliance, fiduciary compliance, fiduciary law, investments, RIA, RIA Compliance, securities compliance
Tagged asset allocation, compliance, fiduciary, fiduciary law, investment advisers, modern portfolio theory, portfolio optimization, RIA compliance, risk management, securities compliance, suitability
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SEC Focuses on Compliance and CCOs
SEC alert demonstrates need for CCOs to focus on both compliance and risk management, both for firm and personal protection. http://www.investmentnews.com/article/20120205/REG/302059986
Running the Investment Compliance “Gauntlet”
As most people know, I focus on helping RIA professionals with both compliance and risk management issues. Far too many times I have performed compliance audits where the RIA has all of the required files and manuals, but a poor … Continue reading
3 FAQs on RIA Ks
I recently received a call from an RIA firm that had been cited during an audit for having an improper RIA client contract. The CEO explained that they had tried to save some money by copying an advisory contract from … Continue reading
Posted in compliance, RIA, RIA Compliance
Tagged compliance, RIA, RIA compliance, risk management
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Investment Advisers and the Internet
First, the necessary disclaimer – there is no way to cover all the applicable rules and regulations regarding investment advisers and the internet in a single blog. While it is hoped that the analysis provided herein is helpful, it is neither … Continue reading
Posted in compliance, investments
Tagged compliance, FINRA, investment advisers, investment analysis tools, RIA compliance, suitability, web sites
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RIA Compliance in 3-D
Regulators are stepping up their surveillance of RIA firms. While RIA firms are complaining about the time and cost requirements to prepare and maintain an acceptable compliance program, most compliance issues can be reduced to one of three areas – … Continue reading
Posted in compliance, investments, RIA Compliance
Tagged compliance, investment advisers, RIA compliance
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The Prudent Investment Fiduciary Rules 
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