-
Join 235 other subscribers
Meta
-
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
-
Join 235 other subscribers
Tag Archives: RIA marketing
Plan Sponsor and RIA Alert: Navigating the 78(3) Fiduciary Liability “Gotcha”
James W. Watkins, III, J.D., CFP EmeritusTM, AWMA® During a recent deposition I asked the plan sponsor if he understood the requirement under the fiduciary duties of prudence and loyalty. His answers were your basic ERISA 404(a) language. When he … Continue reading
Posted in 401k, 401k compliance, 401k investments, 401k litigation, 401k plan design, 401k plans, 401k risk management, 401klitigation, 404(a), Annuities, compliance, ERISA, ERISA litigation, fiduciary, fiduciary compliance, fiduciary duty, fiduciary law, fiduciary liability, fiduciary liability, Fiduciary prudence, fiduciary prudence, fiduciary responsibility, fiduciary risk management, fiduciarylitigation, pension plans, plan advisers, plan sponsors, prudence, retirement plans, RIA, RIA Compliance, RIA marketing, risk management
Tagged 401k, 401k compliance, 401k fiduciary, 401k litigation, 401k plans, Annuities, compliance, ERISA, fiduciary, fiduciary law, investment advisers, plan sponsors, RIA compliance, RIA marketing, RIA risk management
1 Comment
The Dangers of Living in the Land of RIA Make-Believe
The Seventh Circuit just ruled that a company could not enforce a mandatory arbitration clause in a contract because the company name in the contract did not match the company name trying to enforce the arbitration clause. So what does … Continue reading
Posted in compliance, fiduciary compliance, RIA, RIA Compliance, RIA marketing
Tagged fictitious names, RIA, RIA compliance, RIA marketing
Leave a comment
The Prudent Investment Fiduciary Rules 