-
Join 234 other subscribers
Meta
-
Recent Posts
- Reasserting ERISA’s Private Enforcement Design: A Rebuttal to EBSA’s “Frivolous Litigation” Narrative
- When Income Is Not Enough: Why the Continued Inclusion of In-Plan Annuities May Breach ERISA Duties When Compared to Capital-Preserving Income Alternatives and Strategies
- The Active Management Value Ratio as a Cost-Benefit Framework: Integrating AI into Fiduciary Prudence Analysis
- 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
The Prudent Investment Adviser Rules
-
Join 234 other subscribers
Tag Archives: RIA fraud
Risk Management and Liability Housekeeping for RIAs
In providing consulting and compliance auditing to investment advisers, I often see what they often consider meaningless issues, but I see as potentially significant issues. Two such issues are improper identification of the registered investment adviser and improper handling of … Continue reading
The Prudent Investment Fiduciary Rules 