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Tag Archives: ERISA liability
Reading Between the Marketing Lines: Fiduciary Risk Management in the Face of Complexity and Conflicts-of-Interests
James W. Watkins, III, J.D., CFP EmeritusTM, AWMA® Simplicity is the new sophistication. – Steve Jobs Complexity is job security. – Rick Ferri I recently conducted a fiduciary prudence audit for a 401(k) plan. During the review of my audit … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k litigation, 401k plan design, 401k plans, 401k risk management, 403b, cost consciousness, ERISA, fiduciary, fiduciary compliance, fiduciary law, fiduciary liability, fiduciary liability, Fiduciary prudence, fiduciary prudence, fiduciary responsibility, fiduciary risk management, fiduciary standard, pension plans, plan advisers, plan sponsors, retirement plans
Tagged 401k, 401k compliance, 401k risk management, ERISA, ERISA liability, fiduciary, fiduciary investing, fiduciary law, fiduciary liability, fiduciary risk management, plan sponsor, retirement plans
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Is the Exxon Model the Future of ERISA Fiduciary Prudence?
By James W. Watkins, III, J.D., CFP Board Emeritus™, AWMA® “Living is easy with eyes closedMisunderstanding all you see…” “Strawberry Fields Forever” – The Beatles In my role as a fiduciary risk management counsel, I constantly see plan sponsors and … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k plan design, 401k risk management, 403b, Active Management Value Ratio, AMVR, compliance, consumer protection, cost consciousness, cost efficient, cost-efficiency, ERISA, ERISA litigation, evidence based investing, fiduciary, fiduciary compliance, fiduciary duty, fiduciary law, fiduciary liability, fiduciary liability, Fiduciary prudence, fiduciary prudence, fiduciary responsibility, fiduciary risk management, fiduciary standard, investment advisers, investments, Mutual funds, pension plans, plan advisers, plan sponsors, prudence, retirement plans, risk management, SCOTUS, Supreme Court
Tagged 401k, 401k compliance, 404c compliance, compliance, ERISA, ERISA liability, ERISA litigation, ERISAlitigation, fiducairy risk management, fiduciary, fiduciary duty, fiduciary investing, fiduciary law, fiduciary liability, Fiduciary prudence, fiduciary responsibilities, fiduciary responsibility, investment advisers, retirement plans
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The Cost-Efficiency Standard: Streamlining the ERISA 401(k)/403(b) Litigation Process
Any darn fool can make things bigger and more complex… It takes a touch of genius – and a lot of courage – to move in the opposite direction. – Albert Einstein Simplicity is the ultimate sophistication. – Leonardo da … Continue reading
Posted in 401k, 401k compliance, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, closet index funds, cost consciousness, cost efficient, cost-efficiency, ERISA, ERISA litigation, fiduciary compliance, fiduciary law, fiduciary liability, Fiduciary prudence, fiduciary standard, investments, pension plans, prudence, retirement plans, wealth management, wealth preservation
Tagged 401k, 401k compliance, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, compliance, ERISA, ERISA liability, fiduciary, fiduciary investing, fiduciary law, fiduciary liability, Fiduciary prudence, fiduciary standard, investment analysis tools, pension plans, prudence, wealth management, wealth preservation
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The Prudent Investment Fiduciary Rules 