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Tag Archives: RIA risk management
Beware the “We’re #1” Trap
Michael Kitces recently posted an article about a proposed publication that would provide client reviews of their financial advisors. For those of you who do not follow Michael, you should do so. Michael is recognized as an industry leader. I … Continue reading
The Tibble Decision – 3 Valuable Lessons for Plan Sponsors and Other Plan Fiduciaries
Reading the Ninth Circuit’s recent decision in Tibble v. Edison International, I could not help but notice three issues that I believe will significantly impact ERISA plan sponsors and other plan fiduciaries going forward. First, the Court correctly pointed out … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, fiduciary compliance, fiduciary law, investments, retirement plans
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, fiduciary, fiduciary law, investment advisers, investment analysis tools, retirement plans, RIA risk management, risk management
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Has Schwab Opened Pandora’s Box for RIAs? – Part Two
In a recent post, I suggested that the recent court decision upholding Schwab’s class action waiver in customer’s contracts could have potential liability implications for RIAs and other fiduciaries that recommend or use Schwab, or for that matter any other … Continue reading
Gifts and Conflicts of Interest
I received a call yesterday from an RIA firm that had been providing magazine subscriptions and other gifts to clients that referred new clients to the firm. The managing member of the RIA firm said that he had attended a … Continue reading
Fiduciaries, We Ain’t No Stinkin’ Fiduciaries: Help for Fiduciaries and Unsuspecting Fiduciaries
As a securities attorney that represents investors and provides consulting and compliance services to RIA firms, I can honestly say that one of the most common problems I encounter with RIA firms is a failure to develop an effective risk … Continue reading
The Prudent Investment Fiduciary Rules 