-
Join 236 other subscribers
Meta
-
Recent Posts
- The Devil Is In the Details: Monitoring and Updating an AMVR Analysis
- An Accident Waiting to Happen: Annuities, Spreads, and Fiduciary Liability
- Thinking in Bets: Using Behavioral Psychology to Improve Fiduciary Prudence
- Trust, But Verify: Protecting Against Investment Consultants’ Inherent Conflicts of Interest
- Reading Between the Marketing Lines: Fiduciary Risk Management in the Face of Complexity and Conflicts-of-Interests
The Prudent Investment Adviser Rules
-
Join 236 other subscribers
Tag Archives: fiduciaryprudence
An Accident Waiting to Happen: Annuities, Spreads, and Fiduciary Liability
By James W. Watkins, III, J.D., CFP Board Emeritus™, AWMA® [A] fiduciary shall discharge that person’s duties with respect to the plan solely in the interests of the participants and beneficiaries; for the exclusive purpose of providing benefits to participants … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k litigation, 401k plan design, 401k plans, 401k risk management, 403b, Annuities, compliance, cost consciousness, cost-efficiency, defined contribution, ERISA, ERISA litigation, fiduciary, fiduciary compliance, fiduciary duty, fiduciary liability, fiduciary liability, Fiduciary prudence, fiduciary prudence, fiduciary responsibility, fiduciary risk management, pension plans, prudence, retirement plans
Tagged 401k, 401k compliance, 401k fiduciary, 403b, Annuities, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, fiduciary liability, fiduciary responsibilities, fiduciary risk management, fiduciaryprudence, retirement plans
Leave a comment
“Knew or Should Have Known”: Annuities, Plan Sponsors, and Fiduciary Law – Part 1
James W. Watkins, III, J.D., CFP EmeritusTM, AWMA® For years, the annuity industry has attempted to gain greater access to plan participants’ accounts within 401(k) and 403(b) retirement plans. The industry has tried to counter the fiduciary prohibition against the … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k litigation, 401k plan design, 401k plans, 401k risk management, 403b, 404c, 404c compliance, 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, investment advisers, investments, Mutual funds, pension plans, plan advisers, plan sponsors, prudence, retirement plans, RIA, RIA Compliance, risk management, securities compliance, wealth management, wealth preservation
Tagged 401k, 401k compliance, 401k litigation, 404c compliance, compliance, ERISA, fiducairy risk management, fiduciary, fiduciary investing, fiduciary law, fiduciary liability, fiduciary responsibility, fiduciarylitigation, fiduciaryprudence, investment advisers, retirement plans
Leave a comment
3Q 2023 AMVR “Cheat Sheets”: Fiduciary Law Benchmarks That Really Matter
The six funds shown are six of the leading non-index funds that are consistently offered in U.S. domestic defined contribution plans. My development of the Active Management Value Ratio (AMVR) metric was originally based on the work of Nobel laureate … Continue reading
Posted in 401k, 401k compliance, 401k litigation, 401k plan design, 401k plans, 401k risk management, 403b, Active Management Value Ratio, AMVR, closet index funds, 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, investments, Mutual funds, pension plans, plan advisers, plan sponsors, prudence, retirement plans, risk management, SCOTUS, Supreme Court
Tagged 401k, 401k compliance, 401k fiduciary, 401k litigation, 401klitigation, compliance, ERISA, fiducairy risk management, fiduciary, fiduciary investing, fiduciary law, fiduciary liability, Fiduciary prudence, fiduciary responsibilities, fiduciary responsibility, fiduciary risk management, fiduciaryliability, fiduciarylitigation, fiduciaryprudence, fiduciaryriskmanagement, plan sponsor, plan sponsors, retirement plans
Leave a comment
The Prudent Investment Fiduciary Rules 