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Recent Posts
- 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!
- 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
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Tag Archives: fiduciary oversight
Fiduciary Prudence – Don’t Make the Process Harder Than It Is!
“Don’t make the process harder than it is.” – Jack Welch, former GE CEO When I meet with a prospective client, this is what I always tell them. Then I show them how their current plan is exposing them to … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k litigation, 401k plan design, 401k plans, 401k risk management, 404c, 404c compliance, Active Management Value Ratio, AMVR, Annuities, asset allocation, compliance, consumer protection, cost consciousness, cost-efficiency, Cost_Efficiency, ERISA, ERISA litigation, 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, risk management, securities compliance, wealth management, wealth preservation
Tagged 401k, 401k compliance, 404c compliance, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, fiduciary liability, fiduciary oversight, Fiduciary prudence, fiduciary responsibility, fiduciary risk management, investment advisers
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Fiduciary Risk Management 101: Beware the Retirement Crisis “Okey Doke”
James W. Watkins, III, J.D., CFP EmeritusTM, AWMA I recently received a call from the CEO of a corporation asking if I could meet with him. He said he had recently attended a conference where the major topics of discussion … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k plan design, 401k plans, 401k risk management, 403b, Active Management Value Ratio, Annuities, consumer protection, cost consciousness, cost efficient, cost-efficiency, ERISA, 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, retirement plans, risk management, wealth management, wealth preservation
Tagged 401k, 401k compliance, 401k fiduciary, compliance, ERISA, fiduciary, fiduciary duty, fiduciary investing, fiduciary law, fiduciary liability, fiduciary oversight, fiduciary responsibilities, fiduciary responsibility, fiduciary risk management, fiduciaryliability, fiduciarylitigation, fiduciaryprudence, investment advisers, retirement plans
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The InvestSense Challenge for Plan Sponsors: Key Fiduciary Liability Risk Management Questions
James W. Watkins, III, J.D., CFP EmeritusTM, AWMA® I often hear or read plan sponsors and other investment fiduciaries describing how hard their jobs are, how difficult it is to select and monitor their plan’s investment options and avoid fiduciary … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k litigation, 401k plan design, 401k plans, 401k risk management, 403b, 404c, 404c compliance, Active Management Value Ratio, AMVR, Annuities, compliance, consumer protection, cost consciousness, cost efficient, Cost_Efficiency, ERISA, ERISA litigation, fiduciary, fiduciary compliance, fiduciary duty, fiduciary law, fiduciary liability, fiduciary liability, Fiduciary prudence, fiduciary prudence, fiduciary responsibility, fiduciary risk management, fiduciary standard, financial planning, investments, Mutual funds, pension plans, plan advisers, plan sponsors, prudence, retirement planning, retirement plans, RIA, RIA Compliance, risk management, wealth management, wealth preservation
Tagged 401k, 401k compliance, 404c compliance, Annuities, compliance, ERISA, fiduciary, fiduciary duty, fiduciary investing, fiduciary law, fiduciary liability, fiduciary loyalty, fiduciary oversight, Fiduciary prudence, fiduciary responsibility, fiduciary risk management, fiduciarylitigation, fiduciaryoversight, retirement plans
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Why Smart Fiduciaries Avoid Annuities: “Humble Arithmetic,” Annuities, and Fiduciary Liability
By James W. Watkins, III, J.D., CFP Board Emeritus™, AWMA® [A] victim to the relentless rules of humble Arithmetic. Remember, O stranger, ‘Arithmetic is the first of the sciences and the mother of safety.’U.S. Supreme Court Justice Louis Brandeis Fiduciary … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k litigation, 401k plan design, 401k plans, 401k risk management, 403b, Active Management Value Ratio, AMVR, Annuities, compliance, consumer protection, cost consciousness, cost-efficiency, ERISA, ERISA litigation, fiduciary, fiduciary compliance, fiduciary duty, fiduciary law, fiduciary liability, fiduciary liability, Fiduciary prudence, fiduciary prudence, fiduciary responsibility, fiduciary risk management, fiduciary standard, investments, Mutual funds, pension plans, plan advisers, plan sponsors, prudence, retirement planning, retirement plans, risk management, wealth management, wealth preservation
Tagged 401k, 401k compliance, 401k fiduciary, Annuities, compliance, consumer protection, ERISA, fiduciary, fiduciary duty, fiduciary investing, fiduciary law, fiduciary liability, fiduciary loyalty, fiduciary oversight, Fiduciary prudence, fiduciary responsibilities, fiduciary responsibility, fiduciary risk management, fiduciary standard, fiduciaryliability, fiduciarylitigation, fiduciaryresponsibility, investor protection
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Common Sense and Fundamental Fairness: The Matney Case and the Future of 401(k)/403(b) Litigation
By James W. Watkins, J.D., CFP Board Emeritus™, AWMA® I have referenced the Matney v. Briggs Gold of North America (Matney) case1 in a number of recent posts. In my opinion, the significance of Matney lies in the fact that … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k plan design, 401k risk management, 403b, Active Management Value Ratio, AMVR, consumer protection, cost consciousness, cost efficient, cost-efficiency, Cost_Efficiency, ERISA, ERISA litigation, fiduciary, fiduciary compliance, fiduciary duty, fiduciary law, fiduciary liability, fiduciary liability, Fiduciary prudence, fiduciary prudence, fiduciary responsibility, fiduciary risk management, fiduciary standard, investments, Mutual funds, pension plans, plan advisers, plan sponsors, prudence, retirement planning, retirement plans, risk management, SCOTUS, SEC, wealth management, wealth preservation
Tagged 401k, 401k compliance, 401k fiduciary, compliance, cost consciousness, cost efficient investing, costefficiency, costinefficiency, ERISA, fiduciary, fiduciary duty, fiduciary investing, fiduciary law, fiduciary liability, fiduciary loyalty, fiduciary oversight, Fiduciary prudence, fiduciary responsibility, fiduciary risk management, retirement plans
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“Humble Arithmetic” and the Future of 401(k) Litigation
By James W. Watkins, III, J.D., CFP Board EmeritusTM, AWMATM Fortunately, there is currently a case pending in the 10th Circuit, the Matney case, which may go a long way in resolving two of the primary issues that continue to … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k plan design, 401k risk management, 403b, Active Management Value Ratio, AMVR, cost consciousness, cost efficient, cost-efficiency, Cost_Efficiency, ERISA, ERISA litigation, fiduciary, fiduciary compliance, fiduciary duty, fiduciary law, fiduciary liability, fiduciary liability, Fiduciary prudence, fiduciary prudence, fiduciary responsibility, fiduciary risk management, fiduciary standard, investments, Mutual funds, pension plans, plan advisers, plan sponsors, prudence, retirement plans, risk management
Tagged 401k, 401k compliance, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, fiduciary liability, fiduciary oversight, Fiduciary prudence, fiduciary responsibility, fiduciary risk management, retirement plans
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The Prudent Investment Fiduciary Rules 