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- Implications of Section 78(3) of the Restatement (Third) of Trusts and the Expanding “Knew or Should Have Known” Liability Standard in the Era of AI
- Closing Argument: Humble Arithmetic, Common Sense, and Fiduciary Liability vs. In-Plan Annuities
- Closing Argument: Humble Arithmetic, Common Sense, and Fiduciary Responsibility vs. In-Plan Annuities
The Prudent Investment Adviser Rules
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Tag Archives: elder investment fraud
Unintended Consequences: Financial Advisers and Potential Liability Issues Under State Fiduciary Laws
With the investment industry driving and celebrating the continuous efforts of the DOL and Congress to emasculate the DOL’s fiduciary rule, I have received emails from stockbrokers and RIAs/IARs as to what the practical meaning of these actions, from a … Continue reading
Posted in BICE, compliance, cost consciousness, DOL fiduciary rule, DOL fiduciary standard, ERISA, fiduciary compliance, Fiduciary prudence, fiduciary standard, Impartial Conduct Standards, pension plans, prudence, retirement plans, RIA, RIA Compliance
Tagged 404c compliance, best interests, BICE, compliance, DOL fiduciary rule, elder investment fraud, ERISA, fiduciary, fiduciary law, fiduciary standard, FINRA, investment advisers, investment analysis tools, pension plans, retirement plans, suitability, wealth management
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Controlling the Controllable: Factoring Investment Costs Into the Prudence/Suitability Equation
Facts do not cease to exist because they are ignored. – Aldous Huxley In an earlier post, I discussed the benefits of controlling the controllable aspects of investing. Investors cannot control the performance of the markets. Investment fiduciaries are not … Continue reading
Posted in 401k, 401k compliance, 401k investments, 403b, 404c, 404c compliance, DOL fiduciary standard, elderly investment fraud, evidence based investing, fiduciary compliance, fiduciary law, Fiduciary prudence, fiduciary standard, financial planning, investment advisers, investments, IRAs, pension plans, retirement plans, RIA, robo-advisors, special needs advice, special needs planning
Tagged 401k, 401k compliance, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, elder investment fraud, ERISA, evidence based investing, fiduciary, fiduciary investing, fiduciary law, fiduciary standard, investment advisers, investment analysis tools, pension plans, prudence, retirement plans, suitability, wealth management, wealth preservation
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Special Needs Trusts and Your Value-Added Proposition
Excellent discussion and analysis on a subject that is gaining increasing attention by both financial planners, financial advisers and attorneys, as the need for such services continues to grow as people realize the significant benefits, and protection, that experienced professionals … Continue reading
Posted in elder law, elderly investment fraud, financial planning, investment advisers, special needs advice, special needs planning, trust realtionships, wealth management, wealth preservation
Tagged disability issues, disability law, elder investment fraud, elder law, fiduciary investing, financial planning, special need law, special needs trusts, wealth management, wealth preservation
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The Prudent Investment Fiduciary Rules 