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Recent Posts
- Battle of the Best Interests – Whose Are the EBSA and the DOL Supposed to Serve, and Whose Are They Really Serving?
- Guest Article On Supreme Court’s Decision to Hear the Intel Case
- Fair Dinkum: A Critique of the EBSA’s Amicus Brief in Pizarro v. Home Depot
- 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
The Prudent Investment Adviser Rules
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Tag Archives: investment advisers
To BICE Or Not To BICE, That Is the Question.
I read an interesting article today on LinkedIn Pulse entitled “401(k) Opportunity, Is That You ?” by Rebecca Hourihan. https://www.linkedin.com/pulse/401k-fiduciary-opportunity-you-rebecca-hourihan-aif-ppc-?trk=mp-reader-card Ms. Hourihan addressed the same question that several of my plan sponsor fiduciary clients have asked me – what are the potential … Continue reading
Posted in 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, wealth preservation
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, investment advisers, pension plans, retirement plans, RIA risk management, risk management, securities compliance, wealth preservation
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Going Forward: Quantifying “Best Interest,” Reasonable Compensation and Suitability for Investment Professionals
With the DOL’s recent release of their new fiduciary rule (Rule)and the related Best Interest Contract Exemption (BICE), there has been an increased interest in the concepts of “best interest” and prudence, two of the key concepts involved with both … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, wealth management, wealth preservation
Tagged 401k compliance, 404c, 404c compliance, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, FINRA, investment advisers, investment analysis tools, pension plans, retirement plans, suitability, wealth management, wealth preservation
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“Best Interest,” BICE and Class Action Targets, Part II
Much has been written about the Department of Labor’s (DOL) new fiduciary rule and the accompanying Best Interest Contract Exemption (BICE). Several writers have suggested that the group that will benefit the most from the rule and BICE are class … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, compliance, fiduciary compliance, fiduciary law, investments, IRAs, pension plans, retirement plans, securities, securities compliance, wealth management, wealth preservation
Tagged 401k, 404c, compliance, ERISA, fiduciary, fiduciary law, investment advisers, investment analysis tools, pension plans, retirement plans, wealth management, wealth preservation
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“Best Interest,” BICE and Class Action Targets
Much has been written about the Department of Labor’s (DOL) new fiduciary rule and the accompanying Best Interest Contract Exemption (BICE). Several writers have suggested that the group that will benefit the most from the rule and BICE are class … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, securities compliance, wealth management, wealth preservation
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, investment advisers, investment analysis tools, pension plans, retirement plans, securities compliance, suitability, wealth management, wealth preservation
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Making BICE Meaningful – Reality vs. Illusion
I have had a lot of people ask me what I thought of the DOL’s new fiduciary standard. While I think there are some good points to the new fiduciary standard, in many ways the new standard reminded me of … Continue reading
Posted in 401k, 401k compliance, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, wealth management
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, Compliance Gauntlet, ERISA, fiduciary, fiduciary investing, fiduciary law, FINRA, investment advisers, pension plans, retirement plans, RIA compliance, securities compliance, suitability
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And Now the Fiduciary Radar Shifts to …
Now that the DOL has released its new fiduciary rule, advisers are wondering what could be “the next big thing” drawing upon the new rule. Canada has recently announced that it would conduct a sweeping investigation of the abusive marketing … Continue reading
Posted in 401k, 401k investments, 404c, 404c compliance, evidence based investing, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, RIA Compliance, wealth management, wealth preservation
Tagged 401k, 401k compliance, 404c, ERISA, evidence based investing, fiduciary, fiduciary investing, fiduciary law, investment advisers, investment analysis tools, pension plans, suitability, wealth management, wealth preservation
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The 401(k)/404(c) Plan Sponsor’s Achilles Heels Redux
With the effective date for the DOL’s new fiduciary standard getting closer, I have been receiving questions and calls from plans and fellow attorneys regarding the various obligations under the new standard. For that reason, I am re-posting an updated … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, wealth management
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, investment advisers, pension plans, retirement plans, wealth management
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“The Prudent Investment Adviser Rule™: Risk and Liability Management for Investment Fiduciaries”
With the pending release of the Department of Labor’s new fiduciary standard, I am happy to announce that my new book and ebook, “The Prudent Investment Adviser Rule™: Risk and Liability Management for Investment Fiduciaries,: are now available at amazon.com. … Continue reading
Posted in compliance, fiduciary compliance, fiduciary law, RIA, RIA Compliance, securities compliance
Tagged compliance, ERISA, fiduciary, fiduciary law, investment advisers, RIA, RIA compliance, RIA risk management, risk management, securities compliance, suitability, wealth management
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Outsourcing: Panacea or Placebo?
Outsourcing has become a buzzword in the investment advisory industry. I have had many RIA firms tell me that they have outsourced bot their compliance and wealth management functions, allowing them to concentrate solely on marketing and gathering assets. In … Continue reading
2016 So Far and the Levy Decision
I recently posted an article on my blogs about the fact that not everyone is losing money in 2016. I had several people respond negatively, some rudely so, suggesting that I did not understand the cyclical nature of the stock … Continue reading
Posted in compliance, fiduciary compliance, fiduciary law, investments, RIA, RIA Compliance, securities, securities compliance, wealth management, wealth preservation
Tagged compliance, fiduciary, fiduciary law, investment advisers, RIA compliance, RIA risk management, risk management, securities compliance, wealth management, wealth preservation
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The Prudent Investment Fiduciary Rules 
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